DFX Intelligence

I••••••• P•••••••• 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

I••••••• P•••••••• I•••

CRD 118472

WILMINGTON, NC

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Search this name across graphsid dfx:ria:a9fa085e-2fd0-633d-f7a1-2619d458bba0

Data as of Oct 5, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Oct 5, 2016
17 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: $183M••• Locked
Discretionary RAUM: $159M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• S••••••• C••••••	CHIEF INVESTMENT OFFICER/VICE PRESIDENT	C	yes	07/2001	Mar 30, 2012	Oct 5, 2016
H•••••••• D••••• R••••••	CHIEF CLIENT OFFICER/SECRETARY/TREASURER	C	yes	10/2004	Mar 30, 2012	Oct 5, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 24, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$183M	$184M	-0.5%	$118M	15.6%	16	12	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	3	Mar 21, 2017	Oct 28, 2016	WILMINGTON, NC	Firm absorbed	Other	50.0%
I••••••• I••••••••• M••••••••• L••	2	Mar 21, 2017	Jan 10, 2013

Relationships

Controls (3)

← H•••••••• D••••• R••••••OwnerCHIEF CLIENT OFFICER/SECRETARY/TREASURER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← J••••• C••••••••• S••••OwnerCHIEF COMPLIANCE OFFICER/PRESIDENT/CHIEF OPERATING OFFICER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← C••••••• S••••••• C••••••OwnerCHIEF INVESTMENT OFFICER/VICE PRESIDENT, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Affiliated with (1)

← I••••••• I••••••••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9fa085e-2fd0-633d-f7a1-2619d458bba0
First observed: Mar 30, 2012
Last observed: Oct 5, 2016 121 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.