DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CHARIOT ADVISORS

CHARIOT ADVISORS, LLC, CRD 146652

CARY, 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:b5a8cde7-cd1c-fe71-0629-43769d15acdc

Data as of Dec 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2012 to Dec 26, 2019
22 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: $4.0MItem 5.F on the latest filing (2019-12-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.0M
Private client RAUM: $4.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 125
Individual clients: 125
SEC number: 801-69623
CRD: 146652
Filings on the tape: 22
First filed: Feb 17, 2012
Latest filed: Dec 26, 2019
Organised: Limited Liability Company, 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
GOWER, DANA, WALLACE	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	06/2009	Feb 17, 2012	Dec 26, 2019

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
2017	Mar 27, 2018	$4.0M	$4.0M	1	1	0	n/a	n/a
2016	Mar 31, 2017	$4.0M	$4.0M	1	1	n/a	n/a	n/a
2015	Mar 28, 2016	$5.2M	$5.2M	1	1	n/a	n/a	n/a
2014	Mar 17, 2015	$6.7M	$6.7M	1	1	n/a	n/a	n/a
2013	Mar 3, 2014	$9.5M	$9.5M	1	1	n/a	n/a	n/a
2012	Mar 27, 2013	$13.7M	$13.7M	0	0	n/a	n/a	n/a
2011	Feb 21, 2012	$18.6M	$18.6M	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
2017	$4.0M	$4.0M	0.0%	$6.7M	-15.8%	1	1	0	n/a

Relationships

Controls (1)

← GOWER, DANA, WALLACEOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 17, 2012 to presentfactForm ADV

Registered with (2)

← DANA WALLACE GOWERAdvisorregistration: previous registration
May 18, 2010 to Jun 15, 2020factForm ADV
← MARK RICHARD COURTEMANCHEAdvisorregistration: previous registration
Sep 25, 2008 to Jul 27, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5a8cde7-cd1c-fe71-0629-43769d15acdc
First observed: Feb 17, 2012
Last observed: Dec 26, 2019 82 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.

CHARIOT ADVISORS

CHARIOT ADVISORS, LLC, CRD 146652

CARY, 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:b5a8cde7-cd1c-fe71-0629-43769d15acdc

Data as of Dec 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOWER, DANA, WALLACE

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

06/2009

Feb 17, 2012

Dec 26, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 27, 2018

$4.0M

n/a

2016

Mar 31, 2017

$4.0M

n/a

2015

Mar 28, 2016

$5.2M

n/a

2014

Mar 17, 2015

$6.7M

n/a

2013

Mar 3, 2014

$9.5M

n/a

2012

Mar 27, 2013

$13.7M

n/a

2011

Feb 21, 2012

$18.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$4.0M

0.0%

$6.7M

-15.8%

n/a