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C••••••• R•••••• D•••••••• • C••• 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

C••••••• R•••••• D•••••••• • C••• L••

CRD 117825

WINSTON-SALEM, NC

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Search this name across graphsid dfx:ria:66d82f1b-5c63-6b8b-12c9-0cff6cc54df3

Data as of Mar 20, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2012 to Mar 20, 2015
6 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: $119MItem 5.F on the latest filing (2015-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $67.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
C••••••• E•••••• D•••••	Member	C	yes	03/1996	Feb 22, 2012	Mar 20, 2015
D••••••••• J••••• A••••••	Member	C	yes	03/1996	Feb 22, 2012

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

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
2014	$119M	$117M	1.1%	$93.6M	8.3%	5	5	n/a	n/a

Relationships

Controls (3)

← R•••••• E••••• L••••••OwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfactForm ADV
← D••••••••• J••••• A••••••OwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfactForm ADV
← C••••••• E•••••• D•••••OwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfactForm ADV

Registered with (2)

← J•••• A•••••• D••••••••Advisorregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66d82f1b-5c63-6b8b-12c9-0cff6cc54df3
First observed: Feb 22, 2012
Last observed: Mar 20, 2015 140 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.