DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

D••••••••• P•••••••• S•••••••• L••

CRD 160072

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Search this name across graphsid dfx:ria:863964d3-db98-2625-689e-871f01aa9242

Data as of Feb 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Feb 10, 2026
28 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=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $231M••• Locked
Discretionary RAUM: $31.9M
Private client RAUM: $201Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $231Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••••• S••••••••	n/a	LELAND, NC	4	29	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••••• P•••••• •••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	12/2011	Feb 29, 2012	Feb 23, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Leland	Nc	United States	1	no

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
0	0	0	0.0%	0	0	0	0	0

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	$231M	$195M	18.5%	$146M	16.6%	1	1	1	1

Relationships

Registered with (1)

← P••••• S••••••••Advisorregistration: current employment
Dec 21, 2021 to presentfactForm ADV

Controls (1)

← S••••••••• P•••••• •••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 29, 2012 to Feb 23, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:863964d3-db98-2625-689e-871f01aa9242
First observed: Feb 29, 2012
Last observed: Feb 10, 2026 7 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.