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

S••••••• I••••••••• G••••• I•••

Former SEC-registered adviserWinston Salem, North CarolinaCRD 107297SEC 801-50849IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
46%
$80.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$83.5M gross assets
History
9 filings and snapshots on the tape
RAUM$176M as of Mar 29, 2019
Mar 30, 2012$139M then
HNW client RAUM$73.5M as of Mar 29, 2019
Mar 28, 2018$85.9M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)2 as of Mar 29, 2019
Mar 1, 20132 then
Private funds1 as of Mar 29, 2019
Mar 30, 20121 then
RAUM -24% over the last fiscal year-2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$1.2MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.0%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
-24%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+4.5%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$83.5M47%
  • High-net-worth individuals$73.5M42%
  • Individuals$7.1M4.0%
  • Pension and profit-sharing plans$6.8M3.8%
  • Corporations and businesses$5.0M2.8%
  • Charitable organizations$255,7930.1%
Individual clients
33reported
HNW clients
60reported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
98reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• E••••• P•••••••• A• N•••• C••••••• L•••••• P•••••••••Hedge Fund$83.5M45Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• D••••••• E•••••• · President/Chief Compliance Officercontrol
        since 12/1995 · owns 75% or more
      Related persons
      Schedule D 7.A
      • S••••••• E••••• M••••••••• I•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 94 to 98
        Mar 14, 2019 to Mar 29, 2019
      • HNW clients · 61 to 60
        Mar 14, 2019 to Mar 29, 2019
      • Individual clients · 28 to 33
        Mar 14, 2019 to Mar 29, 2019
      • Discretionary RAUM · $231M to $176M
        Mar 14, 2019 to Mar 29, 2019
      • HNW RAUM · $85.9M to $73.5M
        Mar 14, 2019 to Mar 29, 2019
      • Individual RAUM · $8.2M to $7.1M
        Mar 14, 2019 to Mar 29, 2019
      • Pension RAUM · $8.1M to $6.8M
        Mar 14, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $121M to $83.5M
        Mar 14, 2019 to Mar 29, 2019
      • RAUM · $231M to $176M
        Mar 14, 2019 to Mar 29, 2019
      • Accounts · 103 to 94
        Mar 31, 2017 to Mar 28, 2018
      • Charity clients · unset to 1.0
        Mar 31, 2017 to Mar 28, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Mar 28, 2018
      • HNW clients · unset to 61.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual clients · unset to 28.0
        Mar 31, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 2.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $200M to $231M
        Mar 31, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 85903742.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 8223164.0
        Mar 31, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 8138131.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 121260000.0
        Mar 31, 2017 to Mar 28, 2018
      • RAUM · $200M to $231M
        Mar 31, 2017 to Mar 28, 2018
      • Accounts · 95 to 103
        Mar 18, 2016 to Mar 31, 2017
      • Discretionary RAUM · $187M to $200M
        Mar 18, 2016 to Mar 31, 2017
      • RAUM · $187M to $200M
        Mar 18, 2016 to Mar 31, 2017
      • Accounts · 93 to 95
        Mar 13, 2015 to Mar 18, 2016
      • Discretionary RAUM · $189M to $187M
        Mar 13, 2015 to Mar 18, 2016
      • RAUM · $189M to $187M
        Mar 13, 2015 to Mar 18, 2016
      • Accounts · 98 to 93
        Mar 27, 2014 to Mar 13, 2015
      • Discretionary RAUM · $184M to $189M
        Mar 27, 2014 to Mar 13, 2015
      • RAUM · $184M to $189M
        Mar 27, 2014 to Mar 13, 2015
      • Accounts · 78 to 98
        Mar 1, 2013 to Mar 27, 2014
      • Discretionary RAUM · $157M to $184M
        Mar 1, 2013 to Mar 27, 2014
      • RAUM · $157M to $184M
        Mar 1, 2013 to Mar 27, 2014
      • Accounts · 106 to 78
        Mar 30, 2012 to Mar 1, 2013
      • Advisory employees · unset to 1.0
        Mar 30, 2012 to Mar 1, 2013
      • Employees · unset to 2.0
        Mar 30, 2012 to Mar 1, 2013
      • Discretionary RAUM · $139M to $157M
        Mar 30, 2012 to Mar 1, 2013
      • RAUM · $139M to $157M
        Mar 30, 2012 to Mar 1, 2013
      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