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CRD 107665
CHARLESTON, SC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| THOMAS EUGENE NUGENT | n/a | CHARLESTON, SC | 1 | 26 | 1 | no |
| Ryan Lee Harper | n/a | CHARLESTON, SC | 1 | 14 | 1 | no |
| DIANE VICTORIA NUGENT | n/a | CHARLESTON, SC | 0 | 25 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| NUGENT, DIANE, VICTORIA | PRESIDENT/CEO | D | yes | 10/2000 | Feb 7, 2018 | Feb 29, 2024 |
| NUGENT, THOMAS, EUGENE | Cco | C | yes | 10/2000 | Feb 7, 2018 | Feb 29, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 26, 2026 | $306M | $61.2M | 3 | 3 | 0 | n/a | n/a |
| 2024 | Mar 31, 2025 | $273M | $62.8M | 3 | 2 | 0 | n/a | n/a |
| 2023 | Feb 29, 2024 | $265M | $55.8M | 3 | 2 | 0 | n/a | n/a |
| 2022 | Feb 23, 2023 | $208M | $58.6M | 3 | 2 | 0 | n/a | n/a |
| 2021 | Mar 10, 2022 | $287M | $87.9M | 3 | 2 | 0 | n/a | n/a |
| 2020 | Mar 12, 2021 | $237M | $76.3M | 4 | 2 | 0 | n/a | n/a |
| 2019 | Feb 27, 2020 | $186M | $56.3M | 4 | 2 | 0 | n/a | n/a |
| 2018 | Feb 8, 2019 | $143M | $42.3M | 4 | 2 | 0 | n/a | n/a |
| 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 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $306M | $273M | 11.9% | $208M | 13.7% | 3 | 3 | 0 | 0 |