DFX Intelligence

M••••• M•••••• F••••• O••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

M••••• M•••••• F••••• O••••••• L••

CRD 281882

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:60150508-a773-f0ec-3189-3d50c6a626ee

Data as of Mar 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Nov 30, 2015 to Mar 30, 2018
5 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: $909M••• Locked
Discretionary RAUM: $378M
Private client RAUM: $758Mderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• S•••••• B••••••	Cco	Na	yes	11/2015	Nov 30, 2015	Mar 30, 2018
D••••••• D••••••• M••••	Ceo	D	yes	09/2015	Nov 30, 2015	Mar 30, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• P••••••• F•••••••• S••••••• I••	n/a	Former SEC adviser	$709M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 30, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$909M	$498M	82.5%	n/a	n/a	4	4	0	n/a

Relationships

Affiliated with (1)

→ M•••••• P•••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (6)

← R••••••• W••••• M•••••••••OwnerMEMBER, ownership code D, domestic entity
Nov 30, 2015 to presentfactForm ADV
← R•••••••• M•••• A••••••• C••••OwnerCHAIRMAN, ownership code C, individual
Dec 2, 2015 to presentfactForm ADV
← D••••••• D••••••• M••••OwnerCEO, ownership code D, individual

Dated events

Occurred
Mar 30, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$411M
Occurred
Nov 30, 2015
Ria f•••• adv filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60150508-a773-f0ec-3189-3d50c6a626ee
First observed: Nov 30, 2015
Last observed: Mar 30, 2018 103 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.