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

MID-ATLANTIC SECURITIES, INC.

CRD 18836

RALEIGH, 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:b447892e-af34-c4b8-e0c4-c4d13a4df0d9

Data as of Aug 3, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 25
On other graphs: 0
Observed: Jan 19, 2012 to Aug 3, 2022
39 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: $380MItem 5.F on the latest filing (2022-08-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $208M
Private client RAUM: $352MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25
Advisory employees: 20
Offices: 7Schedule D 1.F, beyond the principal office
Accounts: 949
Individual clients: 620
High net worth clients: 288
SEC number: 801-112068
CRD: 18836
Filings on the tape: 39
First filed: Jan 19, 2012
Latest filed: Aug 3, 2022
Organised: Corporation, North Carolina

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CARR RIGGS & INGRAM, LLC	Member	E	yes	07/2022	Aug 1, 2022	Aug 3, 2022
CARR, RIGGS & INGRAM CAPITAL, LLC	Member	E	yes	07/2022	Aug 1, 2022	Aug 3, 2022
GLOVER, JAMES BUNYON JR	SECRETARY TREASURER, PFO, POO, FINANCIAL OPERATIONS PRINCIPAL, OPTIONS PRINCIPAL	Na	yes	10/1986	Jan 19, 2012	Aug 3, 2022
HUNTER, CHARLES EVANT III	VICE PRESIDENT	Na	yes	12/1995	Jan 19, 2012	Aug 3, 2022
NASH, JOHN FREDERICK	CEO-PRESIDENT	Na	yes	10/1986	Jan 19, 2012	Aug 3, 2022
POWELL, ELIZABETH TAYLOE	CHIEF COMPLIANCE OFFICER	Na	yes	02/2009	Jan 19, 2012	Aug 3, 2022
LEVEL FOUR GROUP, LLC	Member	E	no	07/2022	Aug 1, 2022	Aug 3, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LEVEL FOUR ADVISORY SERVICES, LLC	n/a	Bd affiliated wealth	$6.5B	N	yes	n/a
LEVEL FOUR FINANCIAL, LLC	n/a	Former SEC adviser	$621M	N	yes	n/a
LOUIS ORGERA	n/a	n/a	n/a	N	no	n/a
ROSYLN OVERTON	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Pinehurst	Nc	United States	6	yes
GREAT NECK	NY	United States	6	yes
Culpepper	Va	United States	3	yes
Roanoke	Va	United States	3	yes
Charlottesville	Va	United States	1	yes
Williamsburg	Va	United States	1	no
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Jan 31, 2022	$380M	$208M	25	20	7	n/a	n/a
2020	Mar 3, 2021	$265M	$119M	25	15	6	n/a	n/a
2019	Mar 6, 2020	$194M	$95.7M	30	20	6	n/a	n/a
2018	Mar 15, 2019	$131M	$81.8M	30	20	7	n/a	n/a
2017	Feb 26, 2018	$115M	$71.8M	30	19	6	n/a	n/a
2011	Jan 20, 2012	$52.4M	$52.4M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$380M	$265M	43.5%	$131M	42.6%	25	25	7	6

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LEVEL FOUR ADVISORY SERVICES	5	Oct 31, 2022	Nov 17, 2022	RALEIGH, NC	Team lift out	RIA to ibd	27.8%
LEVEL FOUR ADVISORY SERVICES	3	Oct 31, 2022	Oct 14, 2022	GREAT NECK, NY	Team lift out	RIA to ibd	16.7%
LEVEL FOUR ADVISORY SERVICES	8	Oct 31, 2022	Oct 14, 2022	ROANOKE, VA	Team lift out	RIA to ibd	44.4%

Relationships

Affiliated with (2)

→ LEVEL FOUR ADVISORY SERVICESRegistered adviserother investment adviser, common control
factForm ADV
→ HARBOR FINANCIAL SERVICES, LLCRegistered adviserbroker-dealer, common control
factForm ADV

Controls (6)

← HUNTER, CHARLES EVANT IIIOwnerVICE PRESIDENT, ownership code NA, individual
Jan 19, 2012 to presentfactForm ADV
← POWELL, ELIZABETH TAYLOEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 19, 2012 to presentfactForm ADV
← GLOVER, JAMES BUNYON JROwnerSECRETARY TREASURER, PFO, POO, FINANCIAL OPERATIONS PRINCIPAL, OPTIONS PRINCIPAL, ownership code NA, individual
Jan 19, 2012 to presentfactForm ADV
← NASH, JOHN FREDERICKOwnerCEO-PRESIDENT, ownership code NA, individual
Jan 19, 2012 to presentfactForm ADV
← CARR RIGGS & INGRAM, LLCOwnerMEMBER, ownership code E, domestic entity
Aug 1, 2022 to presentfactForm ADV
← CARR, RIGGS & INGRAM CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Aug 1, 2022 to presentfactForm ADV

Owns (1)

← LEVEL FOUR GROUP, LLCOwnerMEMBER, ownership code E, domestic entity
Aug 1, 2022 to presentfactForm ADV

Moved with (1)

→ LEVEL FOUR ADVISORY SERVICESRegistered adviser5 advisors, team lift out, same day
Oct 31, 2022 to Nov 17, 2022factForm ADV

Registered with (22)

← CHARLES EVANT HUNTERAdvisorregistration: previous registration
May 2, 2007 to Oct 31, 2022factForm ADV
← ROBERT DONALD FRAIMAdvisorregistration: previous registration
May 3, 2007 to Oct 31, 2022factForm ADV
← JAMES BUNYON GLOVERAdvisorregistration: previous registration
Dec 22, 2021 to Oct 31, 2022factForm ADV
← JOHN BRADFORD MILLERAdvisorregistration: previous registration
Jun 25, 2007 to Oct 31, 2022factForm ADV
← LOUIS PAUL ORGERAAdvisorregistration: previous registration
May 16, 2013 to Oct 31, 2022factForm ADV
← BRIAN JOSEPH EARLYAdvisorregistration: previous registration
Feb 13, 2015 to Oct 31, 2022factForm ADV
← WENDY SUE PAULEYAdvisorregistration: previous registration
Oct 25, 2010 to Oct 31, 2022factForm ADV
← JOHN DOMINIC ZALESKIAdvisorregistration: previous registration
Aug 6, 2004 to Oct 31, 2022factForm ADV
← THOMAS PATRICK WALTERSAdvisorregistration: previous registration
May 1, 2019 to Oct 31, 2022factForm ADV
← CHARLES STEWART ROBERSONAdvisorregistration: previous registration
Jan 14, 2019 to Oct 31, 2022factForm ADV
← RICHARD TODD HARRINGTONAdvisorregistration: previous registration
Apr 1, 2008 to Oct 31, 2022factForm ADV
← NOELLE GRANVILLE MCINTYREAdvisorregistration: previous registration
Jan 3, 2018 to Oct 31, 2022factForm ADV
← CATHY LYNN POEAdvisorregistration: previous registration
Feb 22, 2010 to Oct 31, 2022factForm ADV
← JAMES D LEEAdvisorregistration: previous registration
Jan 2, 2019 to Oct 31, 2022factForm ADV
← ROBERT MURRAY WORONOFFAdvisorregistration: previous registration
Jun 12, 2009 to Oct 31, 2022factForm ADV
← Glenn Frederick VerityAdvisorregistration: previous registration
May 19, 2021 to Oct 31, 2022factForm ADV
← KENYON LEE ALLMANAdvisorregistration: previous registration
Jul 5, 2018 to Oct 31, 2022factForm ADV
← ROSILYN HOFFMAN OVERTONAdvisorregistration: previous registration
May 30, 2008 to Oct 31, 2022factForm ADV
← MELANIE GRANVILLE LEAHYAdvisorregistration: previous registration
Aug 2, 2012 to Feb 27, 2021factForm ADV
← BLANCHARD IRVING GRANVILLEAdvisorregistration: previous registration
Apr 14, 2009 to Jul 2, 2018factForm ADV
← MATTHEW E WEISSMANAdvisorregistration: previous registration
Apr 1, 2014 to Jun 24, 2016factForm ADV
← DORSEY WEBSTER TYNDALLAdvisorregistration: previous registration
May 20, 2009 to Mar 2, 2010factForm ADV

Dated events

Occurred
Oct 31, 2022
Team lift-out
3 advisors left Mid-Atlantic Securities, Inc. (Great Neck, NY) for Level Four Advisory Services on the same day
Form ADVobserved 3 days ago
3 advisors
Occurred
Oct 31, 2022
Team lift-out
8 advisors left Mid-Atlantic Securities, Inc. (Roanoke, VA) for Level Four Advisory Services on the same day
Form ADVobserved 3 days ago
8 advisors
Occurred
Oct 31, 2022
Team lift-out
5 advisors left Mid-Atlantic Securities, Inc. (Raleigh, NC) for Level Four Advisory Services on the same day
Form ADVobserved 3 days ago
5 advisors
Occurred
Oct 31, 2022
Advisor changed firm
Charles Stewart Roberson left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2025-03-03)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
John Bradford Miller left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Brian Joseph Early left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Noelle Granville Mcintyre left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Kenyon Lee Allman left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Thomas Patrick Walters left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Charles Evant Hunter left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Richard Todd Harrington left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-10)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
James D Lee left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Cathy Lynn Poe left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Louis Paul Orgera left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Rosilyn Hoffman Overton left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Wendy Sue Pauley left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
John Dominic Zaleski left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Glenn Frederick Verity left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Robert Donald Fraim left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-02)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
James Bunyon Glover left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-11-17)
Form ADVobserved 4 days ago
Occurred
Oct 31, 2022
Advisor changed firm
Robert Murray Woronoff left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
Form ADVobserved 4 days ago
Occurred
Aug 1, 2022
Control person left
Rosilyn Hoffman Overton (Partnership) no longer on Schedule A of Mid-Atlantic Securities, Inc. (listed 2022-01-31, absent 2022-08-01)
Form ADVobserved 4 days ago
Occurred
Aug 1, 2022
Control person left
Donald Richard Brown (Partnership) no longer on Schedule A of Mid-Atlantic Securities, Inc. (listed 2022-01-31, absent 2022-08-01)
Form ADVobserved 4 days ago
Occurred
Jan 31, 2022
Regulatory AUM changed
Mid-Atlantic Securities, Inc. reported RAUM $380.2M, up 43% from $265.0M (2022-01-04 to 2022-01-31)
Form ADVobserved 4 days ago
$115M
Occurred
Oct 25, 2017
First Form ADV filing
Mid-Atlantic Securities, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b447892e-af34-c4b8-e0c4-c4d13a4df0d9
First observed: Jan 19, 2012
Last observed: Aug 3, 2022 50 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.

MID-ATLANTIC SECURITIES, INC.

CRD 18836

RALEIGH, 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:b447892e-af34-c4b8-e0c4-c4d13a4df0d9

Data as of Aug 3, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARR RIGGS & INGRAM, LLC

Member

yes

07/2022

Aug 1, 2022

Aug 3, 2022

CARR, RIGGS & INGRAM CAPITAL, LLC

Member

yes

07/2022

Aug 1, 2022

Aug 3, 2022

GLOVER, JAMES BUNYON JR

SECRETARY TREASURER, PFO, POO, FINANCIAL OPERATIONS PRINCIPAL, OPTIONS PRINCIPAL

yes

10/1986

Jan 19, 2012

Aug 3, 2022

HUNTER, CHARLES EVANT III

VICE PRESIDENT

yes

12/1995

Jan 19, 2012

Aug 3, 2022

NASH, JOHN FREDERICK

CEO-PRESIDENT

yes

10/1986

Jan 19, 2012

Aug 3, 2022

POWELL, ELIZABETH TAYLOE

CHIEF COMPLIANCE OFFICER

yes

02/2009

Jan 19, 2012

Aug 3, 2022

LEVEL FOUR GROUP, LLC

Member

07/2022

Aug 1, 2022

Aug 3, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEVEL FOUR ADVISORY SERVICES, LLC

n/a

Bd affiliated wealth

$6.5B

yes

n/a

LEVEL FOUR FINANCIAL, LLC

n/a

Former SEC adviser

$621M

yes

n/a

LOUIS ORGERA

n/a

ROSYLN OVERTON

n/a

City

State

Country

Employees

Also broker-dealer

Pinehurst

United States

yes

GREAT NECK

United States

yes

Culpepper

United States

yes

Roanoke

United States

yes

Charlottesville

United States

yes

Williamsburg

United States

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Jan 31, 2022

$380M

$208M

n/a

2020

Mar 3, 2021

$265M

$119M

n/a

2019

Mar 6, 2020

$194M

$95.7M

n/a

2018

Mar 15, 2019

$131M

$81.8M

n/a

2017

Feb 26, 2018

$115M

$71.8M

n/a

2011

Jan 20, 2012

$52.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$380M

$265M

43.5%

$131M

42.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LEVEL FOUR ADVISORY SERVICES

Oct 31, 2022

Nov 17, 2022

RALEIGH, NC

Team lift out

RIA to ibd

27.8%

LEVEL FOUR ADVISORY SERVICES

Oct 31, 2022

Oct 14, 2022

GREAT NECK, NY

Team lift out

RIA to ibd

16.7%

LEVEL FOUR ADVISORY SERVICES

Oct 31, 2022

Oct 14, 2022

ROANOKE, VA

Team lift out

RIA to ibd

44.4%