DFX Intelligence

I••••••••• A•••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 10b 100b

I••••••••• A•••••• A•••••••• L••

CRD 168267

C••••••••, NC

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:73ee455e-57a7-fae1-d958-cf068b14ced8

Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 495
Dated events: 40
On other graphs: 0
Observed: Nov 8, 2013 to Aug 19, 2026
275 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

3 advisors left I••••••••• A•••••• A•••••••• L•• (Rock Hill, SC) for C••••• I••••••••• A••••••• L•• on the same day

Dated 2026-08-12 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

C••••• I••••••••• A••••••• L•• · destination firm

Advisor Recruiting IntelligenceAug 12, 2026 · seen 7 days ago

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=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=221.0
Regulatory AUM: $17B••• Locked
Discretionary RAUM: $17B
Private client RAUM: $16Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 303
RAUM per advisor: $56.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••• S•••• S•••••	Certified Financial Planner	Irvine, CA \| IRVINE, CA	19	21	2	yes
A•••••• K••••••• P••	Certified Financial Planner	Irvine, CA \| REDMOND, WA \| IRVINE, CA	19	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• D••••• E•	CHIEF MARKETING OFFICER	Na	yes	08/2023	Aug 19, 2026	Aug 19, 2026
I•• H•••••••• L••	MANAGING MEMBER	E	yes	12/2023	Aug 19, 2026	Aug 19, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• D•••••	n/a	n/a	n/a	Y	no	n/a
N••••• L••• D••••	n/a	n/a	n/a	Y	no	n/a
S••• I•••••••• P•••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
M••••••S	Nc	United States	34	no
Irvine	CA	United States	7	no
Columbia	Sc	United States	7	no
BR•••T	Ar	United States	6	no
Raleigh	Nc	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
24	18	6	5.9%	6	7	0	73	49

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	$17B	$14B	22.4%	$10B	19.5%	251	283	140	140

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• I••••••••• A••••••• L••	3	Aug 12, 2026	Aug 12, 2026	ROCK HILL, SC	Team lift out	RIA to ibd	1.0%
C••••••••• F•••••••• G••••	4	Mar 4, 2026	Aug 13, 2026

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••• W••••• M••••••••• L••	2	May 15, 2026	May 1, 2026	C••••••••, NC	Team lift out	Other	100.0%
F•••••••• A•••••••• I••••••••• M•••••••••	4	Sep 25, 2025

Relationships

showing 80 of 495

Registered with (80)

← Caden ClampAdvisorregistration: current employment
Aug 13, 2026 to presentfactForm ADV
← JASON ARMOND MARSHALLAdvisorregistration: current employment
Aug 6, 2026 to presentfactForm ADV
← Trinity N HawthorneAdvisorregistration: current employment
Aug 4, 2026 to presentfactForm ADV
← ALVIN DALE RILEY

Dated events

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

Occurred
Aug 25, 2026
A•••••• firm change
Matthew Lawrence Darpel left I••••••••• A•••••• A•••••••• L•• for Lpl Financial Llc (registered 2025-11-04)
Form ADVobserved 7 days ago
Occurred
Aug 13, 2026
A•••••• firm change
Benjamin Paul Mcelwee left I••••••••• A•••••• A•••••••• L•• for Lpl Financial Llc (registered 2026-08-04)
Form ADVobserved 7 days ago
Occurred
Aug 12, 2026
Team lift-out
3 advisors left I••••••••• A•••••• A•••••••• L•• (Rock Hill, SC) for C••••• I••••••••• A••••••• L•• on the same day
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73ee455e-57a7-fae1-d958-cf068b14ced8
First observed: Nov 8, 2013
Last observed: Aug 19, 2026 34 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.