DFX Intelligence

F••••••• C•••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

F••••••• C•••••• A•••••••• L••

CRD 145460

GREENVILLE, SC

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Data as of Apr 8, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 42
Dated events: 33
On other graphs: 2
Observed: Mar 30, 2012 to Apr 8, 2024
54 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

F••••••• C•••••• A•••••••• L••

Intermediary · key_crd, shared_crd

Allocatorsidentity

F••••••• C•••••• A•••••••• L••

Investment consultant · key_crd, shared_crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $748Mderived••• Locked
Private client share: 43%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 35

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• A••••• R••	President	Na	yes	07/2023	Jul 14, 2023	Apr 8, 2024
L••••• D••••• E•••	CHIEF OPERATIONS OFFICER	Na	yes	10/2021	Apr 25, 2018	Apr 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• B•••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a
U••••• C•••••••• B•••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Athens	Ga	United States	6	yes
Anderson	Sc	United States	3	yes

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.7B	$1.7B	1.1%	$1.5B	4.3%	35	44	2	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	5	Oct 3, 2024	Oct 11, 2024	ATHENS, GA	Team lift out	RIA to ibd	21.7%
W••••• E••••••••• A••••••• S•••••••• L••	16	Oct 3, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••• I••••••••• A••••••• S•••••••• L••	9	Mar 28, 2018	Mar 23, 2018	GREENVILLE, SC	Firm absorbed	Other	81.8%

Relationships

Controls (4)

← G••••••••• A••••• R••OwnerPRESIDENT, ownership code NA, individual
Jul 14, 2023 to presentfactForm ADV
← S••••••• V••••••• S••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← L••••• D••••• E•••OwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Apr 25, 2018 to presentfactForm ADV
← U••••• C•••••••• B••••• I•••OwnerMEMBER, ownership code E, domestic entity
Jan 24, 2022 to presentfact

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
15 Oct 2024
Advisor changed firm5 events
F••••••• C•••••• A•••••••• L••: advisor changed firm, 5 counterparties, on 15 Oct 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
3 Oct 2024
Advisor changed firm18 events
F••••••• C•••••• A•••••••• L••: advisor changed firm, 18 counterparties, on 3 Oct 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
3 Oct 2024
Team lift-out
••• Locked
Form ADV
4 advisors
Occurred
3 Oct 2024
Firm absorbed
••• Locked
Form ADV
17 advisors
Occurred
19 Mar 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Apr 8, 2024 29 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.

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 4, 2014	$729M	$133M	12	11	n/a	n/a	n/a
2012	Mar 4, 2013	$678M	$117M	11	8	n/a	n/a	n/a
2011	Mar 30, 2012	$568M	$105M	n/a	n/a	n/a	n/a	n/a