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F•••••••• P••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

F•••••••• P••••••• S•••••••• I•••

F•••••••• P••••••• S•••••••, INC, CRD 108025

RALEIGH, NC

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Search this name across graphsid dfx:ria:80cf1a87-801a-8059-8d1a-92d740fd2079

Data as of May 27, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Jan 23, 2012 to May 27, 2020
8 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: $141MItem 5.F on the latest filing (2020-05-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $141M
Private client RAUM: $141MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%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
N••••••••• H••••• K••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	11/2004	Jan 23, 2012	May 27, 2020

Offices

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

City	State	Country	Employees	Also broker-dealer
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

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
2019	$141M	$113M	25.3%	n/a	n/a	1	1	1	1

Relationships

Controls (1)

← N••••••••• H••••• K••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 23, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 6, 2018
First Form ADV filing
F•••••••• P••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80cf1a87-801a-8059-8d1a-92d740fd2079
First observed: Jan 23, 2012
Last observed: May 27, 2020 76 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.