DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

Y••••••••• W••••• S••••••••• L••

CRD 299111

CHARLOTTE, 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:8726779e-0cd5-34f3-0b31-7fddaecb6928

Data as of Jun 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Oct 5, 2018 to Jun 27, 2019
11 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: $71.1M••• Locked
Discretionary RAUM: $71.1M
Private client RAUM: $71.1Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••• J••••	CHIEF EXECUTIVE OFFICER	C	yes	11/2018	Oct 5, 2018	Jun 27, 2019
S•••••••• S••••• L••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2019	Jun 24, 2019	Jun 27, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 30, 2019	$71.1M	$71.1M	3	2	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$71.1M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•• I••••••••• A•••• M••••••••• L••	2	Jun 27, 2019	Jul 26, 2019	CHARLOTTE, NC	Team lift out	RIA to RIA	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	2	Nov 7, 2018	Nov 5, 2018	HUNTERSVILLE, NC	Team lift out	Wirehouse to new firm	0.0%

Relationships

Controls (3)

← S•••••••• S••••• L••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 24, 2019 to presentfactForm ADV
← W•••••• L•••••• W•••••OwnerCHIEF INVESTMENT OFFICER, ownership code D, individual
Oct 5, 2018 to presentfactForm ADV
← R••••••• J••••OwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Oct 5, 2018 to presentfactForm ADV

Moved with (2)

→ T•• I••••••••• A•••• M••••••••• L••Registered adviser

Dated events

Occurred
Jun 24, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 24, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2019
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8726779e-0cd5-34f3-0b31-7fddaecb6928
First observed: Oct 5, 2018
Last observed: Jun 27, 2019 88 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.