DFX Intelligence

I••••••• I••••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

I••••••• I••••••••• M••••••••• L••

CRD 165032

WILMINGTON, NC

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Search this name across graphsid dfx:ria:f6b45880-ef18-0f14-1c4d-b032513a6864

Data as of Mar 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2012 to Mar 11, 2015
6 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
SEC number: 801-77455
CRD: 165032
Filings on the tape: 6
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• M••••••• C•••••••••	MANAGING DIRECTOR/MEMBER	C	yes	06/2012	Dec 5, 2012	Mar 11, 2015
C••••••• S••••••• C••••••	MANAGING PARTNER/MEMBER	C	yes	06/2012	Dec 5, 2012	Mar 11, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••••• P•••••••• I•••	n/a	Former SEC adviser	$183M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 11, 2015	n/a	n/a	4	4	n/a	n/a	n/a
2013	Mar 28, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	n/a	n/a	n/a	n/a	n/a	4	5	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	2	Dec 31, 2015	Oct 28, 2016	WILMINGTON, NC	Team lift out	Other	66.7%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••• P•••••••• I•••	2	Mar 21, 2017	Jan 10, 2013	WILMINGTON, NC	Team lift out	Other	33.3%

Relationships

Affiliated with (1)

→ I••••••• P•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (4)

← H•••••••• D••••• R••••••OwnerPARTNER/MEMBER, ownership code C, individual
Dec 5, 2012 to presentfactForm ADV
← J••••• C••••••••• S••••OwnerCHIEF COMPLIANCE OFFICER/PARTNER/MEMBER, ownership code C, individual
Dec 5, 2012 to presentfactForm ADV
← C••••••• S••••••• C••••••OwnerMANAGING PARTNER/MEMBER, ownership code C, individual

Dated events

Occurred
Dec 5, 2012
First Form ADV filing
I••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f6b45880-ef18-0f14-1c4d-b032513a6864
First observed: Dec 5, 2012
Last observed: Mar 11, 2015 140 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.