DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••••••• C••••••• L••

CRD 117823

CLOVER, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:453009f1-9bd3-2555-b1b8-f3eccb36b898

Data as of Jun 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 8
On other graphs: 0
Observed: Jul 31, 2014 to Jun 17, 2026
37 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=0.93 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $282M••• Locked
Discretionary RAUM: $269M
Private client RAUM: $262Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $70.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• G••• P•••••••	Certified Financial Planner\|Chartered Financial Consultant	CLOVER, SC \| WHEATON, IL \| Clover, SC	22	28	1	no
P•••• A•••• R•••	n/a	Clover, SC \| CLOVER, SC \| WHEATON, IL	4	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• B••••• L••	Shareholder	E	yes	03/2020	Dec 19, 2024	Dec 19, 2024
A••••••••• I••••••••• H••••••• 1• L••	Shareholder	E	yes	03/2020	Dec 19, 2024	Dec 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• C•••••• M••••••••• L••	n/a	Independent wealth	$13B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Concord	Nc	United States	1	no

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	1	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	$282M	$250M	12.8%	$160M	20.7%	7	8	0	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••• P••••••• A•• W•••••••• A•••••••	2	Mar 9, 2022	Mar 17, 2022	RALEIGH, NC	Team lift out	Ibd to RIA	0.0%

Relationships

Affiliated with (1)

→ B••••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Registered with (9)

← B••• J•••••• P•••••••Advisorregistration: current employment
Jul 26, 2024 to presentfactForm ADV
← C••••• T••••• S•••••Advisorregistration: current employment
Mar 17, 2022 to presentfactForm ADV
←

Dated events

Occurred
Dec 19, 2024
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 15, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 7, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 15, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:453009f1-9bd3-2555-b1b8-f3eccb36b898
First observed: Jul 31, 2014
Last observed: Jun 17, 2026 3 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.