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CRD 174631
CHARLOTTE, NC
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 |
|---|---|---|---|---|---|---|
| B•••• S•••••• J•••• | Certified Financial Planner | CHARLOTTE, NC | 11 | 24 | 2 | no |
| T••••• M•••••• S•••••• | Chartered Financial Analyst | CHARLOTTE, NC | 11 | 21 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J••••• B••••• S•••••• | MANAGING MEMBER AND DIRECTOR OF FINANCIAL PLANNING | C | yes | 01/2015 | Mar 10, 2026 | Mar 10, 2026 |
| R••••••••• S••••••• P•••••• | MANAGING MEMBER AND DIRECTOR OF FINANCIAL PLANNING | C | yes | 07/2016 | Mar 10, 2026 | Mar 10, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P•• I•••••••• C••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.1B | $916M | 17.0% | $623M | 19.8% | 14 | 13 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W••••••••• W••••• M••••••••• L•• | 2 | Feb 5, 2015 | Feb 2, 2015 | HUNTERSVILLE, NC | Team lift out | Other | 50.0% |
| no |
| S•••••• P•••••• R•••••••• | Certified Financial Planner | CHARLOTTE, NC | 10 | 24 | 1 | no |
| M•••••• S•••••• W••• | Certified Financial Planner | CHARLOTTE, NC | 9 | 22 | 1 | no |
| B•••• P• A••••••• | Chartered Financial Analyst | CHARLOTTE, NC | 8 | 10 | n/a | no |
| D•••• H••• | Chartered Financial Analyst | CHARLOTTE, NC | 2 | 14 | 2 | no |
| B•••• M•••••• H••• | Certified Financial Planner | CHARLOTTE, NC | 1 | 12 | n/a | no |
| S••••••• T•••••• M•••••• | MANAGING MEMBER, CHIEF INVESTMENT AND CHIEF COMPLIANCE OFFICER | C | yes | 01/2015 | Mar 10, 2026 | Mar 10, 2026 |
| A•••••••• B••••• P• | Member | Na | no | 01/2019 | Mar 10, 2026 | Mar 10, 2026 |
| W•••• M••••••• S•••••• | Member | A | no | 01/2019 | Mar 10, 2026 | Mar 10, 2026 |
| $1.1B |
| $1.1B |
| 14 |
| 7 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 10, 2025 | $916M | $872M | 13 | 8 | 0 | n/a | n/a |
| 2023 | Mar 8, 2024 | $770M | $735M | 13 | 8 | 0 | n/a | n/a |
| 2022 | Mar 7, 2023 | $623M | $595M | 14 | 9 | 0 | n/a | n/a |
| 2021 | Mar 14, 2022 | $681M | $625M | 11 | 7 | 0 | n/a | n/a |
| 2020 | Mar 11, 2021 | $435M | $401M | 10 | 8 | 0 | n/a | n/a |
| 2019 | Mar 23, 2020 | $353M | $331M | 10 | 8 | 1 | n/a | n/a |
| 2018 | Mar 12, 2019 | $257M | $241M | 10 | 9 | 1 | n/a | n/a |
| 2017 | Mar 30, 2018 | $243M | $226M | 8 | 5 | 0 | n/a | n/a |
| 2016 | Mar 30, 2017 | $170M | $161M | 7 | 5 | n/a | n/a | n/a |