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.

Former SEC-registered adviser

Portfolio Capital Management Inc

Former SEC-registered adviserCharlotte, North CarolinaCRD 105694SEC 801-16379IAPD
Latest filing Jul 28, 2015
First filing on the tape Jan 17, 2012 · 6 filings
RAUM
$207M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$207M as of Mar 10, 2015
Mar 27, 2012$479M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2015
Mar 27, 20120 then
Employees (5.A)2 as of Mar 10, 2015
Mar 18, 20135 then
Private funds: no history
RAUM -4.1% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$792,077derivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-4.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
261reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • John Marc Durica · President/Chief Executive Officercontrol
      since 08/1981 · owns 75% or more
    • Andrew James Bailey · Secretary/Chief Compliance Officer
      since 07/2004 · owns 10% to 25%
    • Gregory Robert Fontana · Minority Owner
      since 12/2009 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Portfolio Capital Management Inc as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Youngstown, OH
    What changed
    consecutive filings, newest first
    • Accounts · 309 to 261
      Mar 10, 2014 to Mar 10, 2015
    • Discretionary RAUM · $129M to $130M
      Mar 10, 2014 to Mar 10, 2015
    • Non-discretionary RAUM · $86.2M to $76.3M
      Mar 10, 2014 to Mar 10, 2015
    • RAUM · $215M to $207M
      Mar 10, 2014 to Mar 10, 2015
    • Related adviser · true to false
      Mar 10, 2014 to Mar 10, 2015
    • Accounts · 332 to 309
      Mar 18, 2013 to Mar 10, 2014
    • Advisory employees · 3 to 2
      Mar 18, 2013 to Mar 10, 2014
    • Employees · 5 to 2
      Mar 18, 2013 to Mar 10, 2014
    • Insurance-licensed employees · 2 to 0
      Mar 18, 2013 to Mar 10, 2014
    • Discretionary RAUM · $145M to $129M
      Mar 18, 2013 to Mar 10, 2014
    • Non-discretionary RAUM · $252M to $86.2M
      Mar 18, 2013 to Mar 10, 2014
    • RAUM · $397M to $215M
      Mar 18, 2013 to Mar 10, 2014
    • Accounts · 376 to 332
      Mar 27, 2012 to Mar 18, 2013
    • Advisory employees · unset to 3.0
      Mar 27, 2012 to Mar 18, 2013
    • Employees · unset to 5.0
      Mar 27, 2012 to Mar 18, 2013
    • Financial planning clients · 1-10 to 0
      Mar 27, 2012 to Mar 18, 2013
    • Discretionary RAUM · $189M to $145M
      Mar 27, 2012 to Mar 18, 2013
    • Non-discretionary RAUM · $290M to $252M
      Mar 27, 2012 to Mar 18, 2013
    • RAUM · $479M to $397M
      Mar 27, 2012 to Mar 18, 2013
    • Accounts · 275 to 376
      Jan 17, 2012 to Mar 27, 2012
    • Discretionary RAUM · $151M to $189M
      Jan 17, 2012 to Mar 27, 2012
    • Non-discretionary RAUM · $387M to $290M
      Jan 17, 2012 to Mar 27, 2012
    • RAUM · $538M to $479M
      Jan 17, 2012 to Mar 27, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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