DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

K•• C•••••• P•••••••• L••

CRD 137092

RALEIGH, NC

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Search this name across graphsid dfx:ria:b3c26b86-a01b-f51a-9631-a97bf685c94d

Data as of May 21, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 3
On other graphs: 0
Observed: Feb 15, 2012 to May 21, 2021
20 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: $350M••• Locked
Discretionary RAUM: $350M
Private client RAUM: $78.5Mderived••• Locked
Private client share: 22%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A• F•• V••••••• B••••••••• P•••••••••	Hedge Fund	$102M	Jan 5, 2021	2	Feb 15, 2012	reported	n/a
C•••••• P•••••• I••••••••• L•••••• P•••••••••	Hedge Fund	$60.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• B•••• P•••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2012	Feb 15, 2012	May 21, 2021
D••• J•••• M••••••	MANAGING MEMBER, CHIEF INVESTMENT OFFICER	D	yes	01/1996	Feb 15, 2012	May 21, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$350M	$315M	11.2%	$350M	-0.0%	6	6	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••• C••••••	2	Jan 19, 2022	Jan 10, 2022	RALEIGH, NC	Team lift out	RIA to RIA	100.0%

Relationships

Owns (3)

← M••••••• J••••• H••••••OwnerSHAREHOLDER, I•••••••• M••••••••• C••••••••• CLASS A VOTING STOCK, ownership code E, individual
Feb 15, 2012 to presentfactForm ADV
← K••••• C••••• M••••••OwnerMEMBER, ownership code A, individual
Mar 26, 2021 to presentfactForm ADV
← I•••••••• M••••••••• C•••••••••OwnerMEMBER, ownership code B, domestic entity
Feb 15, 2012 to presentfactForm ADV

Controls (3)

← F••• S••••••• M••••••OwnerMANAGING MEMBER, ownership code B, individual

Dated events

Occurred
Jan 19, 2022
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jan 19, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 19, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3c26b86-a01b-f51a-9631-a97bf685c94d
First observed: Feb 15, 2012
Last observed: May 21, 2021 65 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.