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
M•••••• P•••••••
Legal name F•••• P••••••• F•••••••• S••••••• I••
Latest filing Mar 18, 2024
First filing on the tape Mar 7, 2012 · 28 filings
RAUM
$709M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$709M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$709M as of Mar 18, 2024
Mar 7, 2012$255M then
HNW client RAUM$660M as of Mar 18, 2024
Mar 30, 2018$362M then
State-registered IARs (5.B.3)8 as of Mar 18, 2024
Mar 7, 20120 then
Employees (5.A)11 as of Mar 18, 2024
Jan 29, 20139 then
Private funds: no history
RAUM +9.1% over the last fiscal year+6.0% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
- RAUM per advisor
- $88.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$660M93%
- Individuals$49.5M7.0%
- Individual clients
- 120reported
- HNW clients
- 195reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 315reported
- Financial planning clients
- 251-500reported
- 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
Left, latest
- S••••• B•••••• C•••••• to W•••••• A•••••••• L••Dec 19, 2024 · RIA to RIA
- M•••••• E•••••• V•• N••• to W•••••• A•••••••• L••Dec 19, 2024 · RIA to RIA
- D•••••• M•••• D•••••• to W•••••• A•••••••• L••Dec 19, 2024 · RIA to RIA
- L••••••• R• T••••• to W•••••• A•••••••• L••Dec 19, 2024 · RIA to RIA
- C•••• A••• M•••• to W•••••• A•••••••• L••Dec 19, 2024 · RIA to RIA
- R•••••• L••• H••••• to W•••••• A•••••••• L••Dec 19, 2024 · RIA to RIA
- D••••• M•••••• H••••••• to W•••••• A•••••••• L••Dec 13, 2024 · RIA to RIA
- R••• M•••••• V•••••• to W•••••• A•••••••• L••Aug 12, 2024 · RIA to RIA
- J••••••• M•••••• M••••• to H••••••••• I••••••••• C•Feb 21, 2024 · RIA to RIA
- L••• R•••••••• M••••• to S••••••••• L••Sep 4, 2019 · RIA to RIA
- M•••••• J•••• S•••••• to E•••••• A••••••• G••••• L••Dec 4, 2017 · Other
- T••••• L•••••• A•••• to C•••••••• W••••• M•••••••••Feb 28, 2013 · Other
- C••••• J• S••••••• to C•••••••• W••••• M•••••••••Feb 28, 2013 · Other
- W•••••• E••• C•••• to C•••••••• W••••• M•••••••••Feb 28, 2013 · Other
- J•••••• N••••• T••••• to A••••• A•• P••••••• S•••••••Mar 20, 2012 · Other
Joined, latest
- J••••••• M•••••• M••••• from S••••••• E••••••••• L••Sep 16, 2022 · Other
- S••••• B•••••• C•••••• from A•• W•••••• L••Nov 26, 2013 · Other
- M•••••• J•••• S•••••• from A•••• F•••••••• A•••••••• L••Mar 30, 2009 · Other
- M•••••• V• S••••• from C•••••• L••Sep 17, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for W•••••• A•••••••• L••Dec 13, 2024 · Charlotte, Nc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• S•••••• B•••••• · Presidentcontrolsince 11/2015 · owns 10% to 25%
- D••••••• D••••••• M•••• · Ceo And Chief Investment Officercontrolsince 11/2015 · owns 50% to 75%
- H•••••• R••••••• L••• · Wealth Advisorsince 12/2021 · owns less than 5%
- T•••••• L•••••••• R• · Wealth Advisorsince 12/2020 · owns less than 5%
- V•• N•••• M••••••• E•••••• · Director Of Research & Chief Compliance Officersince 06/2018 · owns 10% to 25%
- V••••••• R•••• M•••••• · Wealth Advisorsince 12/2021 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 320 to 315Mar 29, 2023 to Mar 18, 2024
- HNW clients · 200 to 195Mar 29, 2023 to Mar 18, 2024
- Employees · 10 to 11Mar 29, 2023 to Mar 18, 2024
- Discretionary RAUM · $650M to $709MMar 29, 2023 to Mar 18, 2024
- HNW RAUM · $605M to $660MMar 29, 2023 to Mar 18, 2024
- Individual RAUM · $45.0M to $49.5MMar 29, 2023 to Mar 18, 2024
- RAUM · $650M to $709MMar 29, 2023 to Mar 18, 2024
- Accounts · 305 to 320Aug 22, 2022 to Mar 29, 2023
- HNW clients · 187 to 200Aug 22, 2022 to Mar 29, 2023
- Individual clients · 118 to 120Aug 22, 2022 to Mar 29, 2023
- Discretionary RAUM · $645M to $650MAug 22, 2022 to Mar 29, 2023
- HNW RAUM · $553M to $605MAug 22, 2022 to Mar 29, 2023
- Individual RAUM · $92.0M to $45.0MAug 22, 2022 to Mar 29, 2023
- RAUM · $645M to $650MAug 22, 2022 to Mar 29, 2023
- Accounts · 345 to 305Mar 17, 2022 to Aug 22, 2022
- HNW clients · 145 to 187Mar 17, 2022 to Aug 22, 2022
- Individual clients · 200 to 118Mar 17, 2022 to Aug 22, 2022
- Employees · 9 to 10Mar 17, 2022 to Aug 22, 2022
- HQ city · unset to CHARLOTTEMar 17, 2022 to Aug 22, 2022
- HQ state · unset to NCMar 17, 2022 to Aug 22, 2022
- Discretionary RAUM · $725M to $645MMar 17, 2022 to Aug 22, 2022
- HNW RAUM · $671M to $553MMar 17, 2022 to Aug 22, 2022
- Individual RAUM · $54.0M to $92.0MMar 17, 2022 to Aug 22, 2022
- RAUM · $725M to $645MMar 17, 2022 to Aug 22, 2022
- Accounts · 340 to 345Mar 24, 2021 to Mar 17, 2022
- HNW clients · 100 to 145Mar 24, 2021 to Mar 17, 2022
- Individual clients · 240 to 200Mar 24, 2021 to Mar 17, 2022
- Discretionary RAUM · $595M to $725MMar 24, 2021 to Mar 17, 2022
- HNW RAUM · $425M to $671MMar 24, 2021 to Mar 17, 2022
- Individual RAUM · $170M to $54.0MMar 24, 2021 to Mar 17, 2022
- RAUM · $595M to $725MMar 24, 2021 to Mar 17, 2022
- Accounts · 325 to 340Nov 3, 2020 to Mar 24, 2021
- HNW clients · 190 to 100Nov 3, 2020 to Mar 24, 2021
- Individual clients · 135 to 240Nov 3, 2020 to Mar 24, 2021
- State-registered IARs · 7 to 8Nov 3, 2020 to Mar 24, 2021
- Discretionary RAUM · $535M to $595MNov 3, 2020 to Mar 24, 2021
- HNW RAUM · $485M to $425MNov 3, 2020 to Mar 24, 2021
- Individual RAUM · $50.0M to $170MNov 3, 2020 to Mar 24, 2021
- RAUM · $535M to $595MNov 3, 2020 to Mar 24, 2021
- HQ city · CHARLOTTE to unsetJun 29, 2020 to Nov 2, 2020
Signals
11 dated events
- S••••• B•••••• C•••••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Dec 19, 2024 · Advisor changed firm · fact
- L••••••• R• T••••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Dec 19, 2024 · Advisor changed firm · fact
- C•••• A••• M•••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Dec 19, 2024 · Advisor changed firm · fact
- D•••••• M•••• D•••••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Dec 19, 2024 · Advisor changed firm · fact
- R•••••• L••• H••••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Dec 19, 2024 · Advisor changed firm · fact
- M•••••• E•••••• V•• N••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Dec 19, 2024 · Advisor changed firm · fact
- M•••••• P•••••••'s advisors moved to W•••••• A•••••••• L•• (Charlotte, NC): 7 of 7 registered, within 6 daysDec 13, 2024 · Firm absorbed (people side) · derived
- D••••• M•••••• H••••••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Dec 13, 2024 · Advisor changed firm · fact
- R••• M•••••• V•••••• left M•••••• P••••••• for W•••••• A•••••••• L•• (registered 2024-05-03)Aug 12, 2024 · Advisor changed firm · fact
- J••••••• M•••••• M••••• left M•••••• P••••••• for H••••••••• I••••••••• C• (registered 2024-02-23)Feb 21, 2024 · Advisor changed firm · fact
- Appleton Cosby Mary Rinehart (Owner/Chairman) no longer on Schedule A of M•••••• P••••••• (listed 2018-08-07, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
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