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

R••••••• I••••••••• M••••••••• I••

Former SEC-registered adviserGreenville, South CarolinaCRD 106580SEC 801-40973IAPD
Latest filing Jul 14, 2022
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$657M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
92%
$603M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$657M as of Mar 30, 2022
Mar 30, 2012$236M then
HNW client RAUM$200M as of Mar 30, 2022
Mar 29, 2018$97.4M then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20130 then
Employees (5.A)5 as of Mar 30, 2022
Mar 28, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 14, 2022; 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
$9.5MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+38%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$403M61%
  • High-net-worth individuals$200M30%
  • Pension and profit-sharing plans$46.6M7.1%
  • Charitable organizations$7.3M1.1%
Individual clients
267reported
HNW clients
21reported
Pension plan clients
16reported
Charitable clients
5reported
Accounts
309reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    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
      • R•••••••• T•••••• J• · Presidentcontrol
        since 07/1995 · owns 50% to 75%
      • C••••••••• C••••••••• R••••••• · Direct Owner
        since 12/2012 · owns 5% to 10%
      • J••••••••• L•••• H• · Chief Compliance Officer
        since 10/2004 · owns 5% to 10%
      • L••••• J••••• E••••• · Direct Owner
        since 01/2019 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        Mar 30, 2022 to Jul 14, 2022
      • Related broker-dealer · false to true
        Mar 30, 2022 to Jul 14, 2022
      • Accounts · 224 to 309
        Nov 17, 2021 to Mar 30, 2022
      • Advisory activities · 4 to 5
        Nov 17, 2021 to Mar 30, 2022
      • Charity clients · 4 to 5
        Nov 17, 2021 to Mar 30, 2022
      • HNW clients · 18 to 21
        Nov 17, 2021 to Mar 30, 2022
      • Individual clients · 191 to 267
        Nov 17, 2021 to Mar 30, 2022
      • Pension plan clients · 11 to 16
        Nov 17, 2021 to Mar 30, 2022
      • Financial planning clients · 1-10 to 11-25
        Nov 17, 2021 to Mar 30, 2022
      • Discretionary RAUM · $553M to $647M
        Nov 17, 2021 to Mar 30, 2022
      • HNW RAUM · $168M to $200M
        Nov 17, 2021 to Mar 30, 2022
      • Individual RAUM · $343M to $403M
        Nov 17, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $13.6M to $10.2M
        Nov 17, 2021 to Mar 30, 2022
      • Pension RAUM · $49.7M to $46.6M
        Nov 17, 2021 to Mar 30, 2022
      • RAUM · $567M to $657M
        Nov 17, 2021 to Mar 30, 2022
      • Accounts · 223 to 224
        Feb 3, 2021 to Mar 1, 2021
      • Charity clients · 2 to 4
        Feb 3, 2021 to Mar 1, 2021
      • HNW clients · 12 to 18
        Feb 3, 2021 to Mar 1, 2021
      • Individual clients · 195 to 191
        Feb 3, 2021 to Mar 1, 2021
      • Pension plan clients · 14 to 11
        Feb 3, 2021 to Mar 1, 2021
      • Discretionary RAUM · $500M to $553M
        Feb 3, 2021 to Mar 1, 2021
      • HNW RAUM · $122M to $168M
        Feb 3, 2021 to Mar 1, 2021
      • Individual RAUM · $342M to $343M
        Feb 3, 2021 to Mar 1, 2021
      • Non-discretionary RAUM · $11.9M to $13.6M
        Feb 3, 2021 to Mar 1, 2021
      • Pension RAUM · $45.7M to $49.7M
        Feb 3, 2021 to Mar 1, 2021
      • RAUM · $511M to $567M
        Feb 3, 2021 to Mar 1, 2021
      • Accounts · 213 to 223
        Mar 26, 2019 to Mar 31, 2020
      • Advisory employees · 3 to 4
        Mar 26, 2019 to Mar 31, 2020
      • Charity clients · 3 to 2
        Mar 26, 2019 to Mar 31, 2020
      • HNW clients · 8 to 12
        Mar 26, 2019 to Mar 31, 2020
      • Individual clients · 187 to 195
        Mar 26, 2019 to Mar 31, 2020
      • Pension plan clients · 15 to 14
        Mar 26, 2019 to Mar 31, 2020
      • Employees · 3 to 5
        Mar 26, 2019 to Mar 31, 2020
      • Financial planning clients · 0 to 1-10
        Mar 26, 2019 to Mar 31, 2020
      • Discretionary RAUM · $407M to $500M
        Mar 26, 2019 to Mar 31, 2020
      • HNW RAUM · $72.1M to $122M
        Mar 26, 2019 to Mar 31, 2020
      • Individual RAUM · $295M to $342M
        Mar 26, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $0 to $11.9M
        Mar 26, 2019 to Mar 31, 2020
      • Pension RAUM · $34.1M to $45.7M
        Mar 26, 2019 to Mar 31, 2020
      • RAUM · $407M to $511M
        Mar 26, 2019 to Mar 31, 2020
      Signals
      6 dated events
      • C•••••••• R••••••• C••••••••• left R••••••• I••••••••• M••••••••• I•• for C••••••• (registered 2022-07-28)
        Oct 27, 2022 · Advisor changed firm · fact
      • H••••••• M• C•••••• left R••••••• I••••••••• M••••••••• I•• for C••••••• (registered 2022-07-28)
        Oct 27, 2022 · Advisor changed firm · fact
      • T••••• J• R••••••• left R••••••• I••••••••• M••••••••• I•• for C••••••• (registered 2022-08-05)
        Oct 27, 2022 · Advisor changed firm · fact
      • J•••• E••••• L•••• left R••••••• I••••••••• M••••••••• I•• for C••••••• (registered 2022-08-01)
        Oct 27, 2022 · Advisor changed firm · fact
      • R••••••• I••••••••• M••••••••• I••'s advisors moved to C••••••• (Greenville, SC): 4 of 4 registered, on the same day
        Oct 27, 2022 · Firm absorbed (people side) · derived
      • R••••••• I••••••••• M••••••••• I•• reported RAUM $511.5M, up 26% from $406.9M (2019-03-26 to 2020-03-31)
        Mar 31, 2020 · RAUM change · derived
      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