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

H••••• C•••••• M••••••••• I••

Former SEC-registered adviserCharlotte, North CarolinaCRD 106722SEC 801-38262IAPD
Latest filing Mar 12, 2021
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$294M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
76%
$222M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$294M as of Mar 11, 2021
Mar 30, 2012$254M then
HNW client RAUM$148M as of Mar 11, 2021
Mar 26, 2018$127M then
State-registered IARs (5.B.3)7 as of Mar 11, 2021
Mar 30, 20120 then
Employees (5.A)13 as of Mar 11, 2021
Mar 27, 201317 then
Private funds: no history
RAUM -3.7% over the last fiscal year+8.8% a year over threeIARs 8 to 4offices 3 to 2
Practice profile
derived from the filing of Mar 12, 2021; every figure names its basis
RAUM per advisor
$73.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$527,111derivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-3.7%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$243M, 304 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 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$148M50%
  • Individuals$74.1M25%
  • Pension and profit-sharing plans$65.1M22%
  • Corporations and businesses$4.3M1.5%
  • Charitable organizations$2.4M0.8%
Individual clients
216reported
HNW clients
73reported
Pension plan clients
20reported
Charitable clients
3reported
Accounts
558reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$243M for 304 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • W•••••• C•••••••• M••• · Owner/Presidentcontrol
      since 12/1990 · owns 75% or more
    • C•••••• J•••• A••••• · Vice-Pres, Chief Compliance Officer
      since 01/1996 · owns less than 5%
    • T•••••• P•••••• S••••• · Assistant Secretary
      since 12/1990 · owns less than 5%
    • W•••••• L••••••• F••• · Secretary
      since 12/1990 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Mooresville, NC1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 9 to 6
      Mar 11, 2021 to Mar 12, 2021
    • Employees · 13 to 11
      Mar 11, 2021 to Mar 12, 2021
    • State-registered IARs · 7 to 4
      Mar 11, 2021 to Mar 12, 2021
    • Other offices · 3 to 2
      Mar 11, 2021 to Mar 12, 2021
    • Accounts · 628 to 558
      Feb 18, 2021 to Mar 11, 2021
    • HNW clients · 64 to 73
      Feb 18, 2021 to Mar 11, 2021
    • Individual clients · 255 to 216
      Feb 18, 2021 to Mar 11, 2021
    • Pension plan clients · 33 to 20
      Feb 18, 2021 to Mar 11, 2021
    • Assets in custody · $235M to $243M
      Feb 18, 2021 to Mar 11, 2021
    • Financial planning clients · 101-250 to 51-100
      Feb 18, 2021 to Mar 11, 2021
    • Discretionary RAUM · $220M to $224M
      Feb 18, 2021 to Mar 11, 2021
    • HNW RAUM · $132M to $148M
      Feb 18, 2021 to Mar 11, 2021
    • Individual RAUM · $81.2M to $74.1M
      Feb 18, 2021 to Mar 11, 2021
    • Non-discretionary RAUM · $85.6M to $69.7M
      Feb 18, 2021 to Mar 11, 2021
    • Pension RAUM · $85.7M to $65.1M
      Feb 18, 2021 to Mar 11, 2021
    • RAUM · $305M to $294M
      Feb 18, 2021 to Mar 11, 2021
    • Advisory employees · 10 to 9
      Jun 17, 2020 to Feb 18, 2021
    • Employees · 14 to 13
      Jun 17, 2020 to Feb 18, 2021
    • State-registered IARs · 8 to 7
      Jun 17, 2020 to Feb 18, 2021
    • Accounts · 637 to 628
      Dec 6, 2019 to Mar 20, 2020
    • BD registered reps · 1 to 0
      Dec 6, 2019 to Mar 20, 2020
    • Corporate clients · 2 to 1
      Dec 6, 2019 to Mar 20, 2020
    • HNW clients · 59 to 64
      Dec 6, 2019 to Mar 20, 2020
    • Individual clients · 270 to 255
      Dec 6, 2019 to Mar 20, 2020
    • Assets in custody · $207M to $235M
      Dec 6, 2019 to Mar 20, 2020
    • Discretionary RAUM · $194M to $220M
      Dec 6, 2019 to Mar 20, 2020
    • HNW RAUM · $109M to $132M
      Dec 6, 2019 to Mar 20, 2020
    • Individual RAUM · $79.8M to $81.2M
      Dec 6, 2019 to Mar 20, 2020
    • Non-discretionary RAUM · $73.3M to $85.6M
      Dec 6, 2019 to Mar 20, 2020
    • Pension RAUM · $72.5M to $85.7M
      Dec 6, 2019 to Mar 20, 2020
    • RAUM · $267M to $305M
      Dec 6, 2019 to Mar 20, 2020
    • Accounts · 635 to 637
      Mar 26, 2018 to Mar 8, 2019
    • HNW clients · 65 to 59
      Mar 26, 2018 to Mar 8, 2019
    • Individual clients · 272 to 270
      Mar 26, 2018 to Mar 8, 2019
    • Pension plan clients · 11 to 33
      Mar 26, 2018 to Mar 8, 2019
    • Pooled vehicle clients · unset to 0.0
      Mar 26, 2018 to Mar 8, 2019
    • Assets in custody · $228M to $207M
      Mar 26, 2018 to Mar 8, 2019
    • Discretionary RAUM · $228M to $194M
      Mar 26, 2018 to Mar 8, 2019
    • HNW RAUM · $127M to $109M
      Mar 26, 2018 to Mar 8, 2019
    • Individual RAUM · $82.6M to $79.8M
      Mar 26, 2018 to Mar 8, 2019
    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