DFX Intelligence

C••••••• I••••••••• A•••••••• 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

C••••••• I••••••••• A•••••••• L••

CRD 166301

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:d5d2b8c9-f6f8-8785-6497-bb81d0e1f134

Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 4
On other graphs: 2
Observed: Dec 7, 2012 to Mar 23, 2021
18 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

C••••••• I••••••••• A•••••••• L••

Private equity manager · key crd, key sfn adviser, shared crd

Private Creditidentity

C••••••• I••••••••• A•••••••• L••

Private credit manager · key crd, key sfn adviser, shared crd

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: $347M••• Locked
Discretionary RAUM: $347M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••••• S••• F••• I•• L•••	Other Private Fund	$23.0M	Jan 2, 2015	102	Dec 7, 2012	dropped	021-194475
C••••••••• P••••••• F••• I••• L•••	Private Equity Fund	$22.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• J•••••• B••••	ELECTED MANAGER/PRESIDENT/CEO	Na	yes	10/1999	Dec 7, 2012	Mar 23, 2021
A•••••• S••••	CHIEF OPERATING OFFICER	Na	yes	10/2019	Nov 7, 2019	Mar 23, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••• P•••••• A•••••••• L••	n/a	Asset manager	$505M	Y	yes	n/a
C••••••• P•• V• L••	n/a	n/a	n/a	N	yes	n/a
C••••••••• P••••••• F•••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	1	no
CHAPEL HILL	Nc	United States	1	no
NEW YORK	NY	United States	1	no
n/a	n/a	n/a	1	no

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	$347M	$449M	-22.8%	$557M	-14.6%	22	31	4	6

Relationships

Affiliated with (2)

→ C••••••• P•••••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← P•••••• H••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← B•••••••• M••••••• H•••OwnerMANAGER, ownership code F, individual
Dec 7, 2012 to presentfactForm ADV
← A••••• J•••••• B••••OwnerELECTED MANAGER/PRESIDENT/CEO, ownership code NA, individual

Dated events

Occurred
Nov 7, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 7, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 7, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 7, 2012
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5d2b8c9-f6f8-8785-6497-bb81d0e1f134
First observed: Dec 7, 2012
Last observed: Mar 23, 2021 67 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.