DFX Intelligence

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

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

P••••••••• A••••••• S•••••••• L••

CRD 119148

STATESVILLE, NC

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Data as of Mar 29, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 29, 2012
1 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: $66.7M••• Locked
Discretionary RAUM: $66.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 224

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••• L••	Member	D	yes	01/2004	Mar 29, 2012	Mar 29, 2012
N•••••• K••••• M••••••	Member	D	yes	01/2004	Mar 29, 2012	Mar 29, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••• S•••••• • R••••••• P•	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$66.7M	$66.7M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$66.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (4)

← N•••••• K••••• M••••••OwnerMEMBER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← R••••••• C•••• D••••••OwnerMEMBER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← K••• L••OwnerMEMBER, ownership code D, domestic entity
Mar 29, 2012 to presentfactForm ADV
← R•••••• L••OwnerMEMBER, ownership code D, domestic entity
Mar 29, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 29, 2012 176 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.