DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

3•• F•••••••• P•••••••• L••

CRD 169280

MOUNT PLEASANT, SC

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Search this name across graphsid dfx:ria:e6a7d718-8b81-f717-c922-cbb7abe1bcd4

Data as of Mar 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 20, 2021 to Mar 6, 2026
9 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $207M••• Locked
Discretionary RAUM: $207M
Private client RAUM: $201Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $68.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• D•••••• T••••••••	n/a	MOUNT PLEASANT, SC	12	25	1	yes
D••••• J••••• H•••••	n/a	MOUNT PLEASANT, SC	12	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• D•••••• J•••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	08/2006	Dec 20, 2021	Feb 8, 2024
T••••••••• R••••••• D••••••	MANAGING MEMBER	D	yes	07/2007	Dec 20, 2021	Feb 8, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 6, 2026

Advisor flows

••• Locked

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	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$207M	$159M	29.7%	$112M	22.8%	3	3	0	0

Relationships

Registered with (4)

← R•••••• D•••••• T••••••••Advisorregistration: current employment
Jun 30, 2014 to presentfactForm ADV
← D••••• J••••• H•••••Advisorregistration: current employment
Jun 30, 2014 to presentfactForm ADV
← D•••• L•• V•• R•••••••••Advisorregistration: current employment
Jun 30, 2014 to presentfactForm ADV
← Anthony J Seifert

Dated events

Occurred
Dec 20, 2021
First Form ADV filing
3•• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6a7d718-8b81-f717-c922-cbb7abe1bcd4
First observed: Dec 20, 2021
Last observed: Mar 6, 2026 6 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.