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CRD 305412
RAL••••, 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 |
|---|---|---|---|---|---|---|
| J•••••• D•••• L••• | n/a | RALEIEGH, NC | 6 | 30 | 6 | no |
| M••••• D•••• C••••••••• | n/a | CHARLOTTE, NC | RAL••••, NC | 5 | 20 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H••••••• M••••••• J•• | MANAGING PARTNER | C | yes | 03/2019 | Mar 26, 2026 | Mar 26, 2026 |
| K••••• C••••••••• D•••• | MANAGING CCO | C | yes | 03/2019 | Mar 26, 2026 | Mar 26, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Danvers | Ma | United States | 3 | no |
| Durham | Nc | United States | 3 | yes |
| JOHNSON CITY | Tn | United States | 3 | no |
| JOHNSON CITY | Tn | United States | 2 | yes |
| RAL•••• | Nc | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 1 | 1 | 3.1% | 1 | 0 | 0 | 10 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.7B | $2.1B | 33.7% | $1.4B | 26.6% | 50 | 43 | 13 | 12 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•• P••••••• | 3 | Jan 2, 2025 | Jan 13, 2025 | DALLAS, TX | Team lift out | RIA to RIA | 13.6% |
| A•••• C•••••• A•••••••• L•• | 7 | May 11, 2022 | Jun 7, 2022 |
| no |
| B•••••• E••••• D••••• | Certified Financial Planner | JOHNSON CITY, TN | 5 | 26 | 4 | no |
| M•••••• B••••••• D••••• | n/a | JOHNSON CITY, TN | 5 | 13 | 2 | no |
| S•••••••• H••••• C••••••• | n/a | JOHNSON CITY, TN | 5 | 10 | 1 | no |
| N••••• P•••• B••••• | Chartered Financial Analyst | DANVERS, MA | RAL••••, NC | GLOUCESTER, MA | 5 | 23 | 4 | no |
| M••••• P•••••• H•••• | n/a | Durham, NC | RAL••••, NC | 4 | 39 | 2 | yes |
| C••••• L•••••• E•••• | Certified Financial Planner | RAL••••, NC | Durham, NC | 4 | 12 | 1 | no |
| D•••• P•••••• C•••• | Certified Financial Planner | Chelmsford, MA | RAL••••, NC | 4 | 17 | 2 | no |
| R•••••• W•••••• I••••• | n/a | JOHNSON CITY, TN | 4 | 16 | 1 | yes |
| R•••••• W•••••• I••••• | Chartered Financial Consultant | JOHNSON CITY, TN | 4 | 55 | 1 | no |
| C•••••••• D•••• K•••• | Certified Financial Planner | RAL••••, NC | Durham, NC | 4 | 22 | 2 | no |
| R•••••• B•••••• S•••• | Certified Financial Planner | RAL••••, NC | 4 | 39 | 2 | no |
| E•••• R••••••• M••••••• | Certified Financial Planner | RAL••••, NC | 4 | 20 | 2 | yes |
| B•••••• D••• F••••••• | n/a | RAL••••, NC | 4 | 16 | 3 | yes |
| M•••••• J•• H•••••• | Certified Financial Planner | RAL••••, NC | 4 | 26 | 6 | no |
| G•••••• T••••••• R••••••••• | n/a | RAL••••, NC | 4 | 23 | 2 | no |
| D•••• T••• M••••••••• | Certified Financial Planner | RAL••••, NC | 4 | 24 | 2 | no |
| B•••• G•••••• S••••• | n/a | WYOMING, MN | RAL••••, NC | 3 | 11 | 1 | no |
| D••••• X••••••••• N••••• | n/a | JOHNSON CITY, TN | 3 | 13 | n/a | no |
| R••••• G••••• F••••••• | n/a | Raleigh, NC | 2 | 11 | 1 | yes |
| S••••• D•••• S••••• | Certified Financial Planner | EDINA, MN | RAL••••, NC | 2 | 13 | 3 | no |
| K•••• L••••• M••••••• | n/a | RAL••••, NC | JOHNSON CITY, TN | 1 | 14 | n/a | no |
| I•••• W•••• M•••• | n/a | RAL••••, NC | Omaha, NE | 1 | 20 | 1 | no |
| N••••• R••••• L•••••• | Certified Financial Planner | RAL••••, NC | Omaha, NE | 1 | 30 | 4 | no |
| Partner |
| A |
| yes |
| 10/2023 |
| Mar 26, 2026 |
| Mar 26, 2026 |
| M••••••••• D••••• T••• | MANAGING PARTNER | C | yes | 10/2023 | Mar 26, 2026 | Mar 26, 2026 |
| P••••• M••••••• L•••• | PARTNER; COO | Na | yes | 01/2023 | Mar 26, 2026 | Mar 26, 2026 |
| R••••••••• G••••••• T••••••• | Partner | Na | yes | 01/2020 | Mar 26, 2026 | Mar 26, 2026 |
| S••••• R••••••• B•••••• | Partner | A | yes | 10/2023 | Mar 26, 2026 | Mar 26, 2026 |
| F••••••••• M••••••••• C•••••• | Partner | Na | yes | 10/2023 | Mar 26, 2024 | Jun 27, 2024 |
| no |
| RAL•••• | Nc | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| $2.7B |
| $2.6B |
| 50 |
| 30 |
| 13 |
| n/a |
| n/a |
| 2024 | Apr 15, 2025 | $2.1B | $1.9B | 43 | 32 | 12 | n/a | n/a |
| 2023 | Mar 26, 2024 | $1.7B | $1.5B | 38 | 23 | 10 | n/a | n/a |
| 2022 | Mar 30, 2023 | $1.4B | $1.2B | 39 | 25 | 11 | n/a | n/a |
| 2021 | Mar 30, 2022 | $362M | $340M | 24 | 17 | 10 | n/a | n/a |
| 2020 | Mar 23, 2021 | $149M | $132M | 12 | 6 | 4 | n/a | n/a |
| FAIRHOPE, AL |
| Team lift out |
| RIA to RIA |
| 35.0% |
| O• I••••••••• M••••••••• C• | 2 | Apr 1, 2022 | Apr 20, 2022 | JOHNSON CITY, TN | Team lift out | Ibd to RIA | 0.8% |
| O•••• A••••••• S•••••••• L•• | 3 | Jul 1, 2021 | Jul 2, 2021 | ATLANTA, GA | Team lift out | Ibd to RIA | 3.1% |