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

FINTRUST INVESTMENT ADVISORY SERVICES, LLC

CRD 139887

GREENVILLE, 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:7b1dde03-df8a-1ef7-02f3-49f2dd17acdd

Data as of Feb 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2011 to Feb 15, 2018
18 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: $410MItem 5.F on the latest filing (2018-02-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $288M
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: 24
Advisory employees: 13
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 952
Custody, client assets: $0
SEC number: 801-66407
CRD: 139887
Filings on the tape: 18
First filed: Nov 9, 2011
Latest filed: Feb 15, 2018
Organised: Limited Liability Company, South Carolina

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
BRICE, PHILIP, HAMILTON	MANAGING MEMBER	E	yes	01/2018	Nov 9, 2011	Feb 15, 2018
BRICE, PHILIP, HAMILTON	MANAGING MEMBER	Na	yes	03/2011	Nov 9, 2011	Feb 15, 2018
BROAD STREET CAPITAL PARTNERS, LLC	Owner	C	yes	01/2018	Jan 26, 2018	Feb 15, 2018
FINTRUST CAPITAL PARTNERS, LLC	DIRECT OWNER	E	yes	10/2008	Jan 26, 2018	Feb 15, 2018
GILLESPIE, ALLEN, RAY	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	Na	yes	03/2011	Nov 9, 2011	Feb 15, 2018
PHB HOLDINGS,LLC	Owner	C	yes	01/2018	Jan 26, 2018	Feb 15, 2018
SHERIDAN, RICHARD, PATRICK	MANAGING MEMBER	Na	yes	01/2018	Jan 26, 2018	Feb 15, 2018
SHERIDAN, RICHARD, PATRICK	MANAGING MEMBER	E	yes	01/2018	Jan 26, 2018	Feb 15, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BROAD STREET CAPITAL ADVISORS, LLC	n/a	Former SEC adviser	$1.7B	N	yes	n/a
GNI CAPITAL INC.	n/a	Former SEC adviser	$54.9M	N	yes	n/a
BROAD STREET BENEFIT GROUP, LLC	n/a	n/a	n/a	N	yes	n/a
FINTRUST BROKERAGE SERVICES, LLC	n/a	n/a	n/a	N	yes	Sc
FINTRUST INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Anderson	Sc	United States	1	no
Charleston	Sc	United States	1	no
n/a	n/a	n/a	1	no

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
2016	Mar 27, 2017	$410M	$288M	24	11	n/a	n/a	n/a
2015	Mar 1, 2016	$316M	$228M	23	10	n/a	n/a	n/a
2014	Mar 23, 2015	$290M	$228M	21	9	n/a	n/a	n/a
2013	Mar 31, 2014	$244M	$196M	17	9	n/a	n/a	n/a
2012	Mar 28, 2013	$262M	$208M	14	10	n/a	n/a	n/a
2011	Mar 30, 2012	$622M	$306M	n/a	n/a	n/a	n/a	n/a

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
2016	$410M	$316M	29.8%	$244M	18.9%	24	23	3	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FINTRUST CAPITAL ADVISORS, LLC	9	Mar 28, 2018	Mar 23, 2018	GREENVILLE, SC	Firm absorbed	Other	81.8%

Relationships

Affiliated with (2)

→ GNI CAPITAL INC.Registered adviserother investment adviser, common control
factForm ADV
→ FINTRUST CAPITAL ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← BRICE, PHILIP, HAMILTONOwnerMANAGING MEMBER, ownership code E, individual
Nov 9, 2011 to presentfactForm ADV
← SHERIDAN, RICHARD, PATRICKOwnerMANAGING MEMBER, ownership code E, individual
Jan 26, 2018 to presentfactForm ADV
← GILLESPIE, ALLEN, RAYOwnerCHIEF COMPLIANCE OFFICER, MANAGING MEMBER, ownership code NA, individual
Nov 9, 2011 to presentfactForm ADV
← BROAD STREET CAPITAL PARTNERS, LLCOwnerOWNER, ownership code C, domestic entity
Jan 26, 2018 to presentfactForm ADV
← FINTRUST CAPITAL PARTNERS, LLCOwnerDIRECT OWNER, ownership code E, domestic entity
Jan 26, 2018 to presentfactForm ADV
← PHB HOLDINGS,LLCOwnerOWNER, ownership code C, domestic entity
Jan 26, 2018 to presentfactForm ADV

Registered with (23)

← ALLEN RAY GILLESPIEAdvisorregistration: previous registration
Sep 17, 2009 to Mar 29, 2018factForm ADV
← CLIFFORD PADGETT HODGEAdvisorregistration: previous registration
Feb 8, 2016 to Mar 29, 2018factForm ADV
← PHILIP HAMILTON BRICEAdvisorregistration: previous registration
Mar 16, 2009 to Mar 28, 2018factForm ADV
← EDWARD F BLACKBURNAdvisorregistration: previous registration
Jun 29, 2009 to Mar 28, 2018factForm ADV
← WILLIAM MICHAEL GORDONAdvisorregistration: previous registration
Sep 17, 2014 to Mar 28, 2018factForm ADV
← PAUL GORDONAdvisorregistration: previous registration
Sep 17, 2014 to Mar 28, 2018factForm ADV
← Archibald HardyAdvisorregistration: previous registration
Jun 19, 2014 to Mar 28, 2018factForm ADV
← Brittany Chester BynumAdvisorregistration: previous registration
Nov 17, 2016 to Mar 28, 2018factForm ADV
← DAVID LEWISAdvisorregistration: previous registration
Jan 29, 2013 to Mar 28, 2018factForm ADV
← WILLIAM B. KIBLERAdvisorregistration: previous registration
Jun 22, 2015 to Mar 28, 2018factForm ADV
← WILLIAM E KIBLERAdvisorregistration: previous registration
Jun 29, 2009 to Mar 28, 2018factForm ADV
← JONATHAN EDWARD STANOAdvisorregistration: previous registration
Oct 17, 2012 to Jan 19, 2018factForm ADV
← JASON G LEUPOLDAdvisorregistration: previous registration
Jan 2, 2014 to Apr 19, 2016factForm ADV
← JONATHAN DEXTER POLSONAdvisorregistration: previous registration
Jan 21, 2015 to Jan 4, 2016factForm ADV
← NICHOLAS FAISON SAFRITAdvisorregistration: previous registration
Jun 21, 2010 to Sep 8, 2014factForm ADV
← WESLEY MATTOX BOYCEAdvisorregistration: previous registration
Jun 29, 2009 to Aug 5, 2013factForm ADV
← Victor J AlfieriAdvisorregistration: previous registration
Nov 9, 2009 to Jul 15, 2013factForm ADV
← Patricia L SmithAdvisorregistration: previous registration
Apr 13, 2009 to May 31, 2012factForm ADV
← AMY COLLIER GARRISONAdvisorregistration: previous registration
Apr 7, 2009 to May 31, 2012factForm ADV
← MEI LING AUAdvisorregistration: previous registration
Jun 29, 2009 to May 31, 2012factForm ADV
← GARY EDWARD SHUFORDAdvisorregistration: previous registration
Apr 6, 2009 to May 31, 2012factForm ADV
← DANIELLE DABNEY HARMONAdvisorregistration: previous registration
Apr 7, 2009 to May 14, 2012factForm ADV
← TYSON THOMAS HALSEYAdvisorregistration: previous registration
Aug 4, 2009 to Feb 16, 2010factForm ADV

Moved with (1)

→ FINTRUST CAPITAL ADVISORS, LLCRegistered adviser9 advisors, firm absorbed
Mar 28, 2018 to Mar 23, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b1dde03-df8a-1ef7-02f3-49f2dd17acdd
First observed: Nov 9, 2011
Last observed: Feb 15, 2018 104 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.

FINTRUST INVESTMENT ADVISORY SERVICES, LLC

CRD 139887

GREENVILLE, 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:7b1dde03-df8a-1ef7-02f3-49f2dd17acdd

Data as of Feb 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:42 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRICE, PHILIP, HAMILTON

MANAGING MEMBER

yes

01/2018

Nov 9, 2011

Feb 15, 2018

BRICE, PHILIP, HAMILTON

MANAGING MEMBER

yes

03/2011

Nov 9, 2011

Feb 15, 2018

BROAD STREET CAPITAL PARTNERS, LLC

Owner

yes

01/2018

Jan 26, 2018

Feb 15, 2018

FINTRUST CAPITAL PARTNERS, LLC

DIRECT OWNER

yes

10/2008

Jan 26, 2018

Feb 15, 2018

GILLESPIE, ALLEN, RAY

CHIEF COMPLIANCE OFFICER, MANAGING MEMBER

yes

03/2011

Nov 9, 2011

Feb 15, 2018

PHB HOLDINGS,LLC

Owner

yes

01/2018

Jan 26, 2018

Feb 15, 2018

SHERIDAN, RICHARD, PATRICK

MANAGING MEMBER

yes

01/2018

Jan 26, 2018

Feb 15, 2018

SHERIDAN, RICHARD, PATRICK

MANAGING MEMBER

yes

01/2018

Jan 26, 2018

Feb 15, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BROAD STREET CAPITAL ADVISORS, LLC

n/a

Former SEC adviser

$1.7B

yes

n/a

GNI CAPITAL INC.

n/a

Former SEC adviser

$54.9M

yes

n/a

BROAD STREET BENEFIT GROUP, LLC

n/a

yes

n/a

FINTRUST BROKERAGE SERVICES, LLC

n/a

yes

FINTRUST INSURANCE SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Anderson

United States

Charleston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 27, 2017

$410M

$288M

n/a

2015

Mar 1, 2016

$316M

$228M

n/a

2014

Mar 23, 2015

$290M

$228M

n/a

2013

Mar 31, 2014

$244M

$196M

n/a

2012

Mar 28, 2013

$262M

$208M

n/a

2011

Mar 30, 2012

$622M

$306M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$410M

$316M

29.8%

$244M

18.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FINTRUST CAPITAL ADVISORS, LLC

Mar 28, 2018

Mar 23, 2018

GREENVILLE, SC

Firm absorbed

Other

81.8%