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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DIVIDEND ASSETS CAPITAL, LLC

CRD 129973

RIDGELAND, SC

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Search this name across graphsid dfx:ria:6ddc0d8e-dbf9-6783-e6ac-245b0dbe0566

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 10
On other graphs: 0
Observed: Feb 24, 2012 to Sep 15, 2026
44 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: independent wealth managerderivedprivate_client_share=0.86 fund_share=0.02 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $541MItem 5.F on the latest filing (2026-09-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $541M
Private client RAUM: $468MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $90.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 595
Individual clients: 333
High net worth clients: 49
Custody, client assets: $28.6M
SEC number: 801-62643
CIK: 1365167
CRD: 129973
Filings on the tape: 44
First filed: Feb 24, 2012
Latest filed: Sep 15, 2026
Organised: Limited Liability Company, SC
Website: dacapitalsc.com

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
Robert John Dickson	n/a	RIDGELAND, SC	2	20	n/a	no
Emily Cales Harding	n/a	RIDGELAND, SC	1	13	2	no
Donald Joseph Hingtgen	n/a	RIDGELAND, SC	1	11	n/a	no
Joseph John Kilian	n/a	RIDGELAND, SC	0	10	n/a	no
WILLIAM DONALD FORD	Certified Financial Planner	RIDGELAND, SC	0	35	n/a	no
MARC DAVID SAURBORN	Chartered Financial Analyst	RIDGELAND, SC	0	29	2	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
Dickson, Robert, John	CHIEF FINANCIAL OFFICER	Na	yes	01/2024	Mar 28, 2024	Mar 28, 2024
FORD, WILLIAM, DONALD	PRESIDENT & DIRECTOR OF INSTITUTIONAL ASSET MANAGEMENT	Na	yes	08/2023	Jan 23, 2024	Mar 28, 2024
HALEY, JAMES, GLENN	CEO & DIRECTOR OF CLIENT PRIVATE GROUP	Na	yes	08/2023	Jan 23, 2024	Mar 28, 2024
SHAVER, CHARLES, TROY	CHAIRMAN EMERITUS	Na	yes	08/2023	Feb 24, 2012	Mar 28, 2024
SWHEAR, JOHN, CARL	CHIEF COMPLIANCE OFFICER	Na	yes	07/2020	Jul 1, 2020	Mar 28, 2024
DIVIDEND ASSETS CAPITAL HOLDINGS, INC. EMPLOYEE STOCK OWNERSHIP PLAN	EMPLOYEE STOCK OWNERSHIP PLAN	E	no	10/2014	Oct 31, 2014	Mar 28, 2024
GREATBANC TRUST COMPANY	Trustee	E	no	10/2021	Mar 31, 2022	Mar 28, 2024

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
2025	Mar 30, 2026	$541M	$541M	7	3	0	n/a	n/a
2024	Mar 28, 2025	$620M	$620M	8	5	0	n/a	n/a
2023	Mar 28, 2024	$566M	$566M	9	5	0	n/a	n/a
2022	Mar 31, 2023	$527M	$522M	11	6	0	n/a	n/a
2021	Mar 31, 2022	$585M	$579M	12	7	0	n/a	n/a
2020	Feb 19, 2021	$574M	$569M	12	6	0	n/a	n/a
2019	Mar 30, 2020	$748M	$742M	14	6	0	n/a	n/a
2018	Mar 28, 2019	$718M	$713M	14	6	1	n/a	n/a
2017	Mar 28, 2018	$2.5B	$2.5B	17	8	1	n/a	n/a
2016	Mar 27, 2017	$3.2B	$3.2B	22	11	n/a	n/a	n/a
2015	Mar 22, 2016	$4.2B	$4.2B	25	13	n/a	n/a	n/a
2014	Mar 24, 2015	$4.8B	$4.8B	22	13	n/a	n/a	n/a
2013	Mar 21, 2014	$3.5B	$3.5B	20	11	n/a	n/a	n/a
2012	Mar 18, 2013	$1.4B	$1.4B	20	11	n/a	n/a	n/a
2011	Feb 24, 2012	$791M	$786M	n/a	n/a	n/a	n/a	n/a

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
1	2	-1	33.3%	0	1	0	2	2

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	$541M	$620M	-12.8%	$527M	0.9%	7	8	0	0

Relationships

Registered with (13)

← WILLIAM DONALD FORDAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← MARC DAVID SAURBORNAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← Joseph John KilianAdvisorregistration: current employment
Dec 22, 2025 to presentfactForm ADV
← Donald Joseph HingtgenAdvisorregistration: current employment
Feb 3, 2025 to presentfactForm ADV
← Emily Cales HardingAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Robert John DicksonAdvisorregistration: current employment
Jul 5, 2024 to presentfactForm ADV
← ALEX CHARLES MEINTELAdvisorregistration: previous registration
Nov 5, 2021 to Sep 2, 2026factForm ADV
← JAMES GLENN HALEYAdvisorregistration: previous registration
Apr 7, 2017 to Dec 9, 2025factForm ADV
← MICHAEL PAUL KUEHNAdvisorregistration: previous registration
Oct 2, 2017 to Mar 28, 2019factForm ADV
← MICHAEL WAYNE NIXAdvisorregistration: previous registration
Feb 20, 2014 to Feb 25, 2019factForm ADV
← EDWARD PINCKNEY TAYLORAdvisorregistration: previous registration
Aug 27, 2013 to Sep 26, 2018factForm ADV
← JOHN CARROLL CHESHIREAdvisorregistration: previous registration
Sep 25, 2014 to Sep 6, 2018factForm ADV
← EUGENE FRANCIS BALERNAAdvisorregistration: previous registration
Mar 25, 2015 to Sep 14, 2016factForm ADV

Controls (5)

← FORD, WILLIAM, DONALDOwnerPRESIDENT & DIRECTOR OF INSTITUTIONAL ASSET MANAGEMENT, ownership code NA, individual
Jan 23, 2024 to Mar 28, 2024factForm ADV
← SWHEAR, JOHN, CARLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 1, 2020 to Mar 28, 2024factForm ADV
← HALEY, JAMES, GLENNOwnerCEO & DIRECTOR OF CLIENT PRIVATE GROUP, ownership code NA, individual
Jan 23, 2024 to Mar 28, 2024factForm ADV
← SHAVER, CHARLES, TROYOwnerCHAIRMAN EMERITUS, ownership code NA, individual
Feb 24, 2012 to Mar 28, 2024factForm ADV
← Dickson, Robert, JohnOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV

Owns (2)

← DIVIDEND ASSETS CAPITAL HOLDINGS, INC. EMPLOYEE STOCK OWNERSHIP PLANOwnerEMPLOYEE STOCK OWNERSHIP PLAN, ownership code E, domestic entity
Oct 31, 2014 to Mar 28, 2024factForm ADV
← GREATBANC TRUST COMPANYOwnerTRUSTEE, ownership code E, domestic entity
Mar 31, 2022 to Mar 28, 2024factForm ADV

Dated events

Occurred
Sep 2, 2026
Advisor changed firm
Alex Charles Meintel left Dividend Assets Capital, Llc for Tidal Creek Capital Advisors (registered 2026-09-02)
Form ADVobserved 4 days ago
Occurred
Dec 9, 2025
Advisor changed firm
James Glenn Haley left Dividend Assets Capital, Llc for Fenimore Asset Management, Inc. (registered 2026-01-16)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2024
Control person joined
John Robert Dickson (Chief Financial Officer) appeared on Schedule A of Dividend Assets Capital, Llc
Form ADVobserved 4 days ago
Occurred
Mar 28, 2024
Control person left
Eugene Troy Livingston (Financial Officer) no longer on Schedule A of Dividend Assets Capital, Llc (listed 2024-01-23, absent 2024-03-28)
Form ADVobserved 4 days ago
Occurred
Jan 23, 2024
Control person joined
Glenn James Haley (Ceo & Director Of Client Private Group) appeared on Schedule A of Dividend Assets Capital, Llc
Form ADVobserved 4 days ago
Occurred
Jan 23, 2024
Control person joined
Donald William Ford (President & Director Of Institutional Asset Management) appeared on Schedule A of Dividend Assets Capital, Llc
Form ADVobserved 4 days ago
Occurred
Jul 1, 2020
Control person joined
Carl John Swhear (Chief Compliance Officer) appeared on Schedule A of Dividend Assets Capital, Llc
Form ADVobserved 4 days ago
Occurred
Jul 1, 2020
Control person joined
Eugene Troy Livingston (Chief Financial Officer) appeared on Schedule A of Dividend Assets Capital, Llc
Form ADVobserved 4 days ago
Occurred
Jul 1, 2020
Control person left
Jerome Anthony Ghoston (President / Chief Operating Officer /Chief Compliance Officer) no longer on Schedule A of Dividend Assets Capital, Llc (listed 2020-06-18, absent 2020-07-01)
Form ADVobserved 4 days ago
Occurred
Jun 28, 2018
Regulatory AUM changed
Dividend Assets Capital, Llc reported RAUM $941.5M, down 63% from $2.5B (2018-03-28 to 2018-06-28)
Form ADVobserved 4 days ago
$-1.6B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ddc0d8e-dbf9-6783-e6ac-245b0dbe0566
First observed: Feb 24, 2012
Last observed: Sep 15, 2026 4 days 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.

DIVIDEND ASSETS CAPITAL, LLC

CRD 129973

RIDGELAND, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6ddc0d8e-dbf9-6783-e6ac-245b0dbe0566

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Robert John Dickson

n/a

RIDGELAND, SC

n/a

Emily Cales Harding

n/a

RIDGELAND, SC

Donald Joseph Hingtgen

n/a

RIDGELAND, SC

n/a

Joseph John Kilian

n/a

RIDGELAND, SC

n/a

WILLIAM DONALD FORD

Certified Financial Planner

RIDGELAND, SC

n/a

MARC DAVID SAURBORN

Chartered Financial Analyst

RIDGELAND, SC

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Dickson, Robert, John

CHIEF FINANCIAL OFFICER

yes

01/2024

Mar 28, 2024

FORD, WILLIAM, DONALD

PRESIDENT & DIRECTOR OF INSTITUTIONAL ASSET MANAGEMENT

yes

08/2023

Jan 23, 2024

Mar 28, 2024

HALEY, JAMES, GLENN

CEO & DIRECTOR OF CLIENT PRIVATE GROUP

yes

08/2023

Jan 23, 2024

Mar 28, 2024

SHAVER, CHARLES, TROY

CHAIRMAN EMERITUS

yes

08/2023

Feb 24, 2012

Mar 28, 2024

SWHEAR, JOHN, CARL

CHIEF COMPLIANCE OFFICER

yes

07/2020

Jul 1, 2020

Mar 28, 2024

DIVIDEND ASSETS CAPITAL HOLDINGS, INC. EMPLOYEE STOCK OWNERSHIP PLAN

EMPLOYEE STOCK OWNERSHIP PLAN

10/2014

Oct 31, 2014

Mar 28, 2024

GREATBANC TRUST COMPANY

Trustee

10/2021

Mar 31, 2022

Mar 28, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$541M

n/a

2024

Mar 28, 2025

$620M

n/a

2023

Mar 28, 2024

$566M

n/a

2022

Mar 31, 2023

$527M

$522M

n/a

2021

Mar 31, 2022

$585M

$579M

n/a

2020

Feb 19, 2021

$574M

$569M

n/a

2019

Mar 30, 2020

$748M

$742M

n/a

2018

Mar 28, 2019

$718M

$713M

n/a

2017

Mar 28, 2018

$2.5B

n/a

2016

Mar 27, 2017

$3.2B

n/a

2015

Mar 22, 2016

$4.2B

n/a

2014

Mar 24, 2015

$4.8B

n/a

2013

Mar 21, 2014

$3.5B

n/a

2012

Mar 18, 2013

$1.4B

n/a

2011

Feb 24, 2012

$791M

$786M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

33.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$541M

$620M

-12.8%

$527M

0.9%