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I•••••• F••••• INC, CRD 174411
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| P••• L•••••• D•••• | n/a | CHARLOTTE, NC | 11 | 24 | 1 | no |
| C•••••• B•••• B••••• | n/a | CHARLOTTE, NC | 11 | 15 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••• C••••••• B•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2016 | Jul 9, 2019 | Nov 8, 2024 |
| D••••• P•••• L•••••• | President | E | yes | 12/2014 | Jul 9, 2019 | Nov 8, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| D•••• C•••••• M••••••••• C•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Glendale | Az | United States | 1 | no |
| KAILUA-KONA | Hi | United States | 1 | no |
| Pinconning | Mi | United States | 1 | no |
| PORT HURON | Mi | United States | 1 | no |
| FORT WORTH | TX | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 19, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 3 | -2 | 15.8% | 1 | 0 | 0 | 7 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $331M | $279M | 18.8% | $259M | 8.6% | 15 | 15 | 11 | 11 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B•• A••••••• | 2 | Apr 17, 2017 | Jan 9, 2025 | AKRON, OH | Team lift out | Other | 40.0% |
| R••••••••• • J•• | 3 | Apr 20, 2015 | May 15, 2015 |
| no |
| K•••••• L• H•••••• | n/a | CHARLOTTE, NC | Fort Worth, TX | 11 | 26 | 2 | no |
| B•••• R•••••••• | Chartered Financial Consultant | Bedford, NH | CHARLOTTE, NC | 9 | 28 | 3 | no |
| A•••• S• R•••• | n/a | Kirkland, WA | CHARLOTTE, NC | 6 | 28 | 3 | no |
| D•••• K••• M••••• | n/a | CHARLOTTE, NC | 6 | 10 | n/a | no |
| S••••• R••• M••••••• | n/a | CHARLOTTE, NC | Glendale, AZ | 6 | 34 | 2 | no |
| N••• W••••• E•• | n/a | CHARLOTTE, NC | 6 | 28 | n/a | no |
| C•••••• H•••••• D•••••• | n/a | CHARLOTTE, NC | Bozeman, MT | 3 | 17 | 3 | no |
| L•••• B•••••• S•••• | Chartered Financial Consultant | Athens, GA | CHARLOTTE, NC | 2 | 11 | 1 | no |
| K•••• M••••• W••• | n/a | CHARLOTTE, NC | Pinconning, MI | 1 | 32 | 2 | no |
| W••• C•••••••• M•••••• | n/a | CHARLOTTE, NC | 1 | 20 | 1 | no |
| M••• H••• R••••••• | Chartered Financial Consultant | Helena, AL | CHARLOTTE, NC | 1 | 33 | 4 | no |
| N••••• T•••• S•••• | n/a | CHARLOTTE, NC | West Jordan, UT | 1 | 23 | 1 | no |
| R••••• R••• R••••••• | n/a | CHARLOTTE, NC | A••••, TX | 1 | 24 | 2 | no |
| S••••••• D•••••• A•••••••• | n/a | Matthews, NC | CHARLOTTE, NC | 1 | 13 | n/a | no |
| M•••••• A•••• F••••• | n/a | CHARLOTTE, NC | 0 | 13 | n/a | no |
| R••• M•••••• | n/a | FORT GRATIOT, MI | CHARLOTTE, NC | 0 | 13 | 1 | no |
| no |
| n/a | n/a | n/a | 1 | no |
| $331M |
| $331M |
| 15 |
| 15 |
| 11 |
| n/a |
| n/a |
| 2024 | Jan 24, 2025 | $279M | $278M | 15 | 15 | 11 | n/a | n/a |
| 2023 | Feb 12, 2024 | $279M | $278M | 15 | 15 | 10 | n/a | n/a |
| 2022 | May 4, 2023 | $259M | $258M | 15 | 15 | 10 | n/a | n/a |
| 2021 | Feb 28, 2022 | $243M | $242M | 15 | 15 | 10 | n/a | n/a |
| 2020 | Jan 28, 2021 | $153M | $152M | 11 | 11 | 6 | n/a | n/a |
| 2019 | Feb 19, 2020 | $122M | $122M | 9 | 9 | 5 | n/a | n/a |
| ANAHEIM, CA |
| Team lift out |
| Other |
| 42.9% |