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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

S••• H••••• F••••• C••••••• L••

CRD 317547

CHAPEL HILL, NC

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Search this name across graphsid dfx:ria:5b3eaa93-a2bc-278f-f1da-d34f4717c06a

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 1
Observed: Dec 1, 2021 to Mar 24, 2026
9 observations

Across DFX

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

Family Officesidentity

S••• H••••• F••••• C••••••• L••

Family office · shared crd

Facts

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

Firm class: mixed wealth managerderivedprivate_client_share=0.37 fund_share=0.0 institutional_share=0.63 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $614MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $353M
Private client RAUM: $227MderivedItem 5.D individuals plus high net worth individuals
Private client share: 37%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• E••• S••••••	Chartered Financial Analyst	CHAPEL HILL, NC	1	19	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• P•••• T•	CHIEF COMPLIANCE OFFICER AND CHIEF INVESTMENT OFFICER	Na	yes	11/2021	Dec 1, 2021	Mar 28, 2024
S••••••• S•••••	President	E	yes	01/2022	Dec 1, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$614M	$546M	12.5%	$385M	16.8%	3	4	0	0

Relationships

Registered with (1)

← S••••• E••• S••••••Advisorregistration: current employment
Apr 25, 2025 to presentfactForm ADV

Controls (2)

← B•••• P•••• T•OwnerCHIEF COMPLIANCE OFFICER AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 1, 2021 to Mar 28, 2024factForm ADV
← S••••••• S•••••OwnerPRESIDENT, ownership code E, individual
Dec 1, 2021 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 28, 2024
Regulatory AUM changed
S••• H••••• F••••• C••••••• L•• reported RAUM $509.2M, up 32% from $384.8M (2023-03-24 to 2024-03-28)
Form ADVobserved 7 days ago
$124M
Occurred
Dec 1, 2021
First Form ADV filing
S••• H••••• F••••• C••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b3eaa93-a2bc-278f-f1da-d34f4717c06a
First observed: Dec 1, 2021
Last observed: Mar 24, 2026 6 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.