DFX Intelligence
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Reading the graph
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CRD 122320
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••• A••• F•••••••• | MANAGING MEMBER | C | yes | 12/2004 | Mar 30, 2012 | Aug 5, 2024 |
| C••• A••• F•••••••• | CHIEF COMPLIANCE OFFICER; VP | Na | yes | 12/2005 | Mar 30, 2012 | Aug 5, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A•• H••••• O• T•• M•• A••••••• A•• S•••••••• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| MOUNT PLEASANT | Sc | United States | 6 | yes |
| Jacksonville | FL | United States | 3 | yes |
| Timonium | Md | United States | 3 | yes |
| MT. PLEASANT | Sc | United States | 3 | yes |
| Ashland | Ky | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $880M | $1.1B | -20.9% | $1.0B | -4.8% | 40 | 40 | 11 | 18 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P•••••• A•••••• G••••• L•• | 2 | Jul 16, 2025 | Jun 23, 2025 | ROCKVILLE, MD | Team lift out | RIA to ibd | 18.2% |
| L•• F•••••••• L•• | 6 | Jul 16, 2025 | May 27, 2025 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H•••••• T••••••• • K•••• L•• | 2 | Mar 25, 2022 | Apr 12, 2022 | WILMINGTON, DE | Team lift out | Ibd to RIA | 0.5% |
| M•• I•••••••• S•••••••• L•• | 2 | Nov 23, 2021 | Nov 22, 2021 |
| MANAGING MEMBER |
| D |
| yes |
| 12/2004 |
| Mar 30, 2012 |
| Aug 5, 2024 |
| C••• C••••••••• L•• | President | Na | yes | 12/2005 | Mar 30, 2012 | Aug 5, 2024 |
| T•• M•••••• G••••• L•• | Owner | E | yes | 12/2005 | Mar 30, 2012 | Aug 5, 2024 |
| yes |
| Jacksonville | FL | United States | 1 | yes |
| ST. AUGUSTINE | FL | United States | 1 | yes |
| Marietta | Ga | United States | 1 | yes |
| Crofton | Md | United States | 1 | yes |
| FREDE•••K | Md | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| $880M |
| $880M |
| 40 |
| 37 |
| 11 |
| n/a |
| n/a |
| 2023 | Feb 26, 2024 | $1.1B | $1.1B | 40 | 37 | 18 | n/a | n/a |
| 2022 | Mar 30, 2023 | $976M | $958M | 40 | 37 | 18 | n/a | n/a |
| 2021 | Mar 28, 2022 | $1.0B | $1000M | 39 | 39 | 16 | n/a | n/a |
| 2020 | Mar 30, 2021 | $810M | $810M | 29 | 26 | 11 | n/a | n/a |
| 2019 | Mar 31, 2020 | $553M | $527M | 23 | 23 | 11 | n/a | n/a |
| 2018 | Mar 26, 2019 | $416M | $333M | 21 | 21 | 7 | n/a | n/a |
| 2017 | Mar 26, 2018 | $398M | $398M | 23 | 23 | 6 | n/a | n/a |
| 2016 | Mar 9, 2017 | $319M | $319M | 22 | 22 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $156M | $156M | 13 | 13 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $73.3M | $72.6M | n/a | n/a | n/a | n/a | n/a |
| ROCKVILLE, MD |
| Firm absorbed |
| RIA to ibd |
| 54.5% |
| L•• F•••••••• L•• | 3 | Jul 16, 2025 | May 19, 2025 | MT PLEASANT, SC | Team lift out | RIA to ibd | 27.3% |
| G•••• V••••• A•••••• G••••• L•• | 4 | Feb 19, 2025 | Feb 16, 2025 | PERRY HALL, MD | Team lift out | RIA to RIA | 20.0% |
| H••••••• C•••••• | 3 | Dec 18, 2024 | Dec 9, 2025 | JACKSONVILLE, FL | Team lift out | RIA to new firm | 9.7% |
| H••••••• C•••••• | 2 | Dec 18, 2024 | Jan 13, 2025 | ROCKVILLE, MD | Team lift out | RIA to new firm | 6.5% |
| H••••••• C•••••• | 3 | Dec 18, 2024 | Dec 20, 2024 | MOUNT PLEASANT, SC | Team lift out | RIA to new firm | 9.7% |
| N•••••• W••••• M••••••••• | 2 | Jul 2, 2018 | Jul 9, 2018 | ROCKVILLE, MD | Team lift out | RIA to RIA | 12.5% |
| HUNT V•••••, MD |
| Team lift out |
| Ibd to RIA |
| 0.0% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Aug 3, 2021 | Jul 29, 2021 | BALTIMORE, MD | Team lift out | Ibd to RIA | 0.1% |
| T••••••••• F•••••••• A•••••••• L•• | 3 | May 11, 2016 | Feb 9, 2017 | MOUNT PLEASANT, SC | Team lift out | Other | 0.3% |