DFX Intelligence

C••••••• C•••••• C••••••••• I•••: 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••••••• C•••••• C••••••••• I•••

CRD 116802

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:fadcc63a-8f08-0681-394d-3421a1153295

Data as of Feb 19, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Feb 19, 2021
26 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: $364M••• Locked
Discretionary RAUM: $364M
Private client RAUM: $364Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H• G••••• N•••••• R••••••••• L••	Other Private Fund	$522,685	Jul 22, 2014	8	Mar 29, 2012	dropped	n/a
H• P••••••• L••	Liquidity Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• B••••• H•••••	President	E	yes	01/1994	Mar 29, 2012	Feb 19, 2021

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	$364M	$335M	8.7%	$288M	8.2%	5	4	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••••••• S•••••••• W•••••• L••	3	Jul 26, 2021	Jul 26, 2021	CHARLOTTE, NC	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← F•••• B••••• H•••••OwnerPRESIDENT, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Moved with (1)

→ B••••••••• S•••••••• W•••••• L••Registered adviser3 advisors, firm absorbed, same day
Jul 26, 2021 to Jul 26, 2021factForm ADV

Registered with (3)

← B•••• H••••• F•••Advisorregistration: previous registration
Jan 16, 2007 to Jul 26, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fadcc63a-8f08-0681-394d-3421a1153295
First observed: Mar 29, 2012
Last observed: Feb 19, 2021 68 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.