DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

V••• M•••••• • C••• I•••

V• M• M•••••• • C••• I••., CRD 2655

GREENVILLE, SC

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Search this name across graphsid dfx:ria:5f255d62-ba1b-5548-7728-ad6a7ed79ed7

Data as of Feb 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Nov 15, 2011 to Feb 26, 2026
9 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $133M••• Locked
Discretionary RAUM: $133M
Private client RAUM: $133Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• N••••• B••••• I••	PRESIDENT/DIRECTOR/CEO/CCO OF IA	Na	yes	10/1999	Nov 15, 2011	Mar 22, 2012
A••••••••• N••••• B••••• J•	CHAIRMAN OF THE BOARD, MUNI PRINCIPAL, CHIEF COMPLIANCE OFFICER OF B-D	E	yes	10/1999	Nov 15, 2011	Mar 22, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V• M• M•••••• • C••• I••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 26, 2026

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	2	-2	n/a	0	2	0	0	2

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	$133M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C• I••••••••• L••	2	Jul 20, 2026	Sep 11, 2026	GREENVILLE, SC	Team lift out	RIA to RIA	100.0%

Relationships

Moved with (1)

→ C• I••••••••• L••Registered adviser2 advisors, team lift out, same day
Jul 20, 2026 to Sep 11, 2026factForm ADV

Registered with (2)

← N••••• B••••• A••••••••Advisorregistration: previous registration
Dec 10, 1997 to Jul 20, 2026factForm ADV
← W•••••• A•••• M•••••••Advisorregistration: previous registration
Sep 3, 2013 to Jul 20, 2026factForm ADV

Controls (3)

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 20, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jul 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 20, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f255d62-ba1b-5548-7728-ad6a7ed79ed7
First observed: Nov 15, 2011
Last observed: Feb 26, 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.