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CRD 131117
RALEIGH, NC
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••••• A•••••••• P••••• | n/a | RALEIGH, NC | 10 | 15 | 1 | yes |
| Y••••• F• | Certified Financial Planner|Chartered Financial Consultant | RALEIGH, NC | 9 | 12 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••••• C••••••••• | Ceo | C | yes | 06/2023 | Mar 29, 2024 | Mar 29, 2024 |
| C•••••••• A•••••• B•••• | CHIEF MARKETING OFFICER | C | yes | 06/2023 | Mar 29, 2024 | Mar 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| L•••••• P••••••• F•••••••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| M••••• C•••••• S••••••••• I••• | n/a | n/a | n/a | N | yes |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WEST PALM BEACH | FL | United States | 3 | yes |
| Westlake | Oh | United States | 2 | yes |
| Tucson | Az | United States | 1 | yes |
| Houston | TX | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 3 | 10 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $255M | n/a | n/a | $172M | 14.0% | 19 | n/a | 4 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• C•••••• M••••••••• C•• | 3 | Dec 4, 2023 | Jan 1, 2026 | RALEIGH, NC | Team lift out | Other | 14.3% |
| M••••• C•••••• M••••••••• C•• | 3 | Dec 31, 2021 | Sep 1, 2021 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | 3 | Aug 9, 2024 | Sep 17, 2024 | NEW BERN, NC | Team lift out | Ibd to RIA | 0.1% |
| M••••• C•••••• M••••••••• C•• | 2 | Dec 31, 2021 | Jan 12, 2022 |
| yes |
| J••• E•••• A••••••• | Chartered Financial Consultant | Senoia, GA | RALEIGH, NC | 4 | 37 | 6 | no |
| R••••• L•• N••••• | Certified Financial Planner | Melbourne Beach, FL | RALEIGH, NC | 4 | 35 | 3 | yes |
| J••• W••••• Y•••• | n/a | RALEIGH, NC | Apex, NC | 4 | 31 | 7 | yes |
| N••••••• T••••• D••• | n/a | Tomball, TX | RALEIGH, NC | 4 | 30 | 2 | yes |
| M•••••• L•••••• G••••• | n/a | RALEIGH, NC | Pearland, TX | 4 | 29 | 3 | yes |
| D••••• J•••• S••••••• | n/a | Raleigh, NC | RALEIGH, NC | 4 | 26 | 4 | yes |
| M•••••• J••• D••••••• | n/a | RALEIGH, NC | Raleigh, NC | 4 | 25 | 5 | no |
| T••••• L••• M•••••• | n/a | Hattiesburg, MS | RALEIGH, NC | 4 | 25 | 2 | yes |
| M•••••• R••• E••••• | n/a | Westlake, OH | RALEIGH, NC | 4 | 11 | 3 | yes |
| K••• J• V•• O••• | n/a | RALEIGH, NC | TUSCON, AZ | 4 | 31 | 4 | yes |
| G••••••• G• M•••••••• | n/a | RALEIGH, NC | New Bern, NC | 2 | 15 | 2 | yes |
| A••• D•••• S•••••• | n/a | Raleigh, NC | RALEIGH, NC | 2 | 16 | 1 | yes |
| D•••• H••••• T••••••••• | n/a | Chapel Hill, NC | RALEIGH, NC | 2 | 10 | 1 | yes |
| T••••• A•••••• S•••• | n/a | RALEIGH, NC | Napa, CA | 1 | 35 | 2 | no |
| R•••• ••••• D•••• | Certified Financial Planner | Rocklin, CA | RALEIGH, NC | 1 | 29 | 1 | yes |
| M•••••• A•••• H••••• | n/a | San Diego, CA | RALEIGH, NC | 0 | 29 | 2 | yes |
| Cco |
| Na |
| yes |
| 03/2023 |
| Apr 10, 2023 |
| Mar 29, 2024 |
| W•••••••• C••••••••• T••••• | Coo | C | yes | 09/2004 | Mar 29, 2024 | Mar 29, 2024 |
| S•••••••• D•••••• J•••• | President | Na | no | 12/2022 | Dec 10, 2022 | Mar 29, 2024 |
| T•••••• A••••••••• H•••••••• L•• | HOLDING COMPANY | C | no | 06/2023 | Mar 29, 2024 | Mar 29, 2024 |
| $255M |
| $15.1M |
| 19 |
| 18 |
| 4 |
| n/a |
| n/a |
| 2023 | Mar 29, 2024 | $285M | $274M | 30 | 24 | 4 | n/a | n/a |
| 2022 | Apr 10, 2023 | $172M | $164M | 42 | 38 | 9 | n/a | n/a |
| 2021 | Mar 31, 2022 | $142M | $139M | 41 | 38 | 12 | n/a | n/a |
| 2020 | Apr 19, 2021 | $98.6M | $96.9M | 41 | 38 | 11 | n/a | n/a |
| 2019 | Jul 15, 2020 | $100M | $100M | 37 | 37 | 12 | n/a | n/a |
| 2018 | Mar 26, 2019 | $100M | $98.4M | 37 | 37 | 12 | n/a | n/a |
| 2017 | Mar 29, 2018 | $150M | $144M | 49 | 48 | 14 | n/a | n/a |
| 2016 | Mar 31, 2017 | $101M | $88.2M | 38 | 38 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $67.6M | $36.0M | 22 | 22 | n/a | n/a | n/a |
| 2012 | Mar 14, 2013 | $56.1M | $6.4M | 22 | 22 | n/a | n/a | n/a |
| RALEIGH, NC |
| Team lift out |
| Other |
| 8.8% |
| B• R•••• W••••• A•••••••• I••• | 2 | Feb 23, 2017 | May 10, 2017 | RALEIGH, NC | Team lift out | Other | 7.7% |
| MT PLEASANT, SC |
| Team lift out |
| Other |
| 50.0% |