DFX Intelligence

H•••••• A•••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H•••••• A•••••••• I••

CRD 119655

SENECA, SC

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Search this name across graphsid dfx:ria:22c2efa4-bed3-b600-7946-f106d6d590a2

Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to May 5, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $355M••• Locked
Discretionary RAUM: $353M
Private client RAUM: $353Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $118Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•••• C•••••• B•••••••	Certified Financial Planner	Marietta, GA	7	41	n/a	no
F•••• M••••• J••••••	Certified Financial Planner	Marieta, GA	7	40

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• S••••••• F••••••	PRESIDENT, CHIEF COMPLIANCE OFFICER, CEO, CFO, COO, CIO	E	yes	11/1989	Mar 29, 2012	Apr 3, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$355M	$333M	6.7%	$275M	8.9%	3	3	0	0

Relationships

Registered with (3)

← S•••••• F•••••• M••••••••Advisorregistration: previous registration
Mar 22, 2018 to Dec 31, 2018factForm ADV
← F•••• M••••• J••••••Advisorregistration: current employment
Sep 19, 2019 to presentfactForm ADV
← L•••• C•••••• B•••••••Advisorregistration: current employment
Sep 9, 2019 to presentfactForm ADV

Controls (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22c2efa4-bed3-b600-7946-f106d6d590a2
First observed: Mar 29, 2012
Last observed: May 5, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.