DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

B••• A••••• • C•• I•••

B•••, A••••• & COMPANY, INC., CRD 104840

ASHEVILLE, NC

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:49572409-9aa5-0474-6780-54806a300e9d

Data as of Mar 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 1
Observed: Mar 27, 2012 to Mar 19, 2020
35 observations

Across DFX

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

Allocatorsidentity

B••• A••••• • C•• I•••

Investment consultant · 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: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.2Bderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• T•••••• C•••••••	MEMBER, BOARD OF DIRECTORS	A	yes	07/1995	Mar 27, 2012	Mar 19, 2020
B•••• A••••• A•• C••••••• I••• E•••	EMPLOYEE STOCK OWENERSHIP PLAN	C	yes	12/1994	Mar 27, 2012	Mar 19, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••• A••••• T•••• C••••••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HILTON HEAD ISLAND	Sc	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$1.3B	$1.1B	19.8%	$1.0B	7.7%	16	18	1	1

Relationships

Controls (5)

← A•••••• T•••••• C•••••••OwnerMEMBER, BOARD OF DIRECTORS, ownership code A, individual
Mar 27, 2012 to presentfactForm ADV
← V••••••• J••• L•••••••OwnerPRESIDENT, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← R•••••• J•••• P••••••OwnerVICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← C••••• S••••••• H••••••OwnerSECRETARY, ownership code NA, individual
Mar 27, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49572409-9aa5-0474-6780-54806a300e9d
First observed: Mar 27, 2012
Last observed: Mar 19, 2020 79 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.