DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
C•••••••• I••••••••• C••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Jan 18, 2012 · 27 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
88%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.5B as of Mar 29, 2019
Mar 29, 2012$704M then
HNW client RAUM$1.2B as of Mar 29, 2019
Mar 29, 2018$1.2B then
State-registered IARs (5.B.3)18 as of Mar 29, 2019
Mar 8, 201313 then
Employees (5.A)25 as of Mar 29, 2019
Mar 8, 201323 then
Private funds: no history
RAUM +4.9% over the last fiscal year+12% a year over threeIARs 16 to 18
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $82.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 18.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $378MreportedItem 5.I
- Custody
- $153M, 214 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B82%
- Corporations and businesses$102M6.8%
- Individuals$88.7M6.0%
- Charitable organizations$43.9M2.9%
- Pension and profit-sharing plans$34.5M2.3%
- Individual clients
- 435reported
- HNW clients
- 278reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 693reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $405M managedreported
- Custody of client assets
- $153M for 214 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- H•••• F••••• S•••••• to V•••• P••••••• L••May 20, 2019 · RIA to a newly registered adviser
- O••••• R•••• C•••• to V•••• P••••••• L••May 16, 2019 · RIA to a newly registered adviser
- D••••• A•••••• B••• to V•••• P••••••• L••May 16, 2019 · RIA to a newly registered adviser
- R••••• C••••••••• G••••• to V•••• P••••••• L••May 16, 2019 · RIA to a newly registered adviser
- A•••••• A••• B•••••• to V•••• P••••••• L••May 3, 2019 · RIA to a newly registered adviser
- B••••••• M••••••• M••••• to R•• C•••••• M••••••• L••May 3, 2019 · RIA to affiliated broker-dealer or bank
- N••••• K•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 16, 2018 · Other
- T••••• E••••• H•••••••• to C•••••••• W••••• C••••••••• L••Dec 31, 2016 · Other
- J••••• K••••• F•••••••• to C•••••••• W••••• C••••••••• L••Dec 31, 2016 · Other
- K•••••••• M••••• to P•• W••••• M•••••••••Oct 26, 2016 · Other
- S••••• M•••• V••••••• to C•••••• L••Mar 22, 2016 · Other
- D•••• C•••• B•••• to C••••• I••••••••• A•••••••• L••Oct 14, 2013 · Other
- S•••• M••••••• W•••••••• to F••••••• F•••••••• S••••••••• L••Aug 14, 2012 · Other
- K••••••• W••• M••••• to E••• A•••••••• L••Aug 22, 2011 · Other
- D•••• A•••• P•••••• to C•••••••• W••••• C••••••••• L••Jun 6, 2011 · Other
Joined, latest
- B••••••• M••••••• M••••• from B••••••••• A•••• M••••••••• L••Apr 6, 2019 · Other
- B•••••• M•••••••• from C•••••• F•••••••• A••••••••• I••Apr 6, 2017 · Other
- A•••••• A••• B•••••• from H••••••• W••••• M••••••••• L••Sep 10, 2015 · Other
- K•••••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 24, 2012 · Other
- D•••• C•••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 14, 2011 · Other
- S•••• M••••••• W•••••••• from A••••••• S••••••••• G••••• I•••Aug 31, 2011 · Other
- S••••• M•••• V••••••• from C•••••••• G••••• M•••••• I•••Aug 15, 2006 · Other
- T••••• E••••• H•••••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jun 8, 2006 · Other
- D•••• A•••• P•••••• from C••••••• F•••••••• A•••••••Nov 15, 2004 · Other
- M•••••• E••••• F••••• from K••• I••••••••• A•••••••Jan 30, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for V•••• P••••••• L••May 3, 2019 · Charlotte, Nc · Firm absorbed
- 2 left for C•••••••• W••••• C••••••••• L••Dec 31, 2016 · Waxhaw, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• G••••• H•••••• J• · Ceo, President, Finop, Managing Member, Municipal Principal, Pfo, Poocontrolsince 09/2018 · owns 75% or more
- F••••••••• J••••• K••••• · Principal, Member, Chief Compliance Officer, Chief Operating Officer, Rosfpsince 10/2014 · owns less than 5%
- G•••••• C••••••••• K•••• · Member, Secretary (8/09), Chief Compliance Officer, Principalsince 04/2011 · owns less than 5%
Entity owners
- N•• C••••••••• T•••• •••••• · Ownerdirect · owns 5% to 10%
- N•• C••••••••• · Sole Trustee Of Nctindirect · owns F of N•• C••••••••• T•••• ••••••
Related persons
Schedule D 7.A
- D•••• P••••••insurancen
Advisers that list C•••••••• I••••••••• C••••••••• L•• as a related person
- 300003 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 712 to 693Jul 6, 2018 to Mar 29, 2019
- Advisory employees · 20 to 18Jul 6, 2018 to Mar 29, 2019
- BD registered reps · 18 to 17Jul 6, 2018 to Mar 29, 2019
- Corporate clients · 12 to 7Jul 6, 2018 to Mar 29, 2019
- HNW clients · 292 to 278Jul 6, 2018 to Mar 29, 2019
- Individual clients · 402 to 435Jul 6, 2018 to Mar 29, 2019
- Pension plan clients · 8 to 10Jul 6, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 0.0Jul 6, 2018 to Mar 29, 2019
- Assets in custody · $76.4M to $153MJul 6, 2018 to Mar 29, 2019
- Employees · 24 to 25Jul 6, 2018 to Mar 29, 2019
- Financial planning clients · 1-10 to 251-500Jul 6, 2018 to Mar 29, 2019
- State-registered IARs · 16 to 18Jul 6, 2018 to Mar 29, 2019
- Discretionary RAUM · $218M to $382MJul 6, 2018 to Mar 29, 2019
- HNW RAUM · $1.2B to $1.2BJul 6, 2018 to Mar 29, 2019
- Individual RAUM · $120M to $88.7MJul 6, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $1.2B to $1.1BJul 6, 2018 to Mar 29, 2019
- Pension RAUM · $36.3M to $34.5MJul 6, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · unset to 0.0Jul 6, 2018 to Mar 29, 2019
- RAUM · $1.4B to $1.5BJul 6, 2018 to Mar 29, 2019
- Wrap assets (manager) · $747M to $405MJul 6, 2018 to Mar 29, 2019
- Accounts · 1,651 to 712Nov 16, 2017 to Mar 29, 2018
- Advisory employees · 17 to 20Nov 16, 2017 to Mar 29, 2018
- BD registered reps · 17 to 18Nov 16, 2017 to Mar 29, 2018
- Corporate clients · unset to 12.0Nov 16, 2017 to Mar 29, 2018
- HNW clients · unset to 292.0Nov 16, 2017 to Mar 29, 2018
- Individual clients · unset to 402.0Nov 16, 2017 to Mar 29, 2018
- Pension plan clients · unset to 8.0Nov 16, 2017 to Mar 29, 2018
- Assets in custody · $0 to $76.4MNov 16, 2017 to Mar 29, 2018
- Custody of client assets · false to trueNov 16, 2017 to Mar 29, 2018
- Employees · 27 to 24Nov 16, 2017 to Mar 29, 2018
- Financial planning clients · 251-500 to 1-10Nov 16, 2017 to Mar 29, 2018
- State-registered IARs · 17 to 16Nov 16, 2017 to Mar 29, 2018
- Discretionary RAUM · $175M to $218MNov 16, 2017 to Mar 29, 2018
- HNW RAUM · unset to 1179481125.0Nov 16, 2017 to Mar 29, 2018
- Individual RAUM · unset to 119746437.0Nov 16, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $1.1B to $1.2BNov 16, 2017 to Mar 29, 2018
- Pension RAUM · unset to 36328273.0Nov 16, 2017 to Mar 29, 2018
- RAUM · $1.3B to $1.4BNov 16, 2017 to Mar 29, 2018
- Wrap assets (manager) · $727M to $747MNov 16, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jun 14, 2017 to Nov 16, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••••• I••••••••• C••••••••• L•• · Private Equityshared crd · intermediary
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026