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

P•••••••• I••

Former SEC-registered adviserGreenville, South CarolinaCRD 108941SEC 801-55657IAPD
Latest filing Feb 20, 2019
First filing on the tape Mar 16, 2012 · 15 filings
RAUM
$374M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$361M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$374M as of Feb 20, 2019
Mar 16, 2012$246M then
HNW client RAUM$187M as of Feb 20, 2019
Mar 23, 2018$205M then
State-registered IARs (5.B.3)10 as of Feb 20, 2019
Mar 16, 20120 then
Employees (5.A)10 as of Feb 20, 2019
Mar 21, 201315 then
Private funds: no history
RAUM -5.0% over the last fiscal year+7.3% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Feb 20, 2019; every figure names its basis
RAUM per advisor
$37.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$232,524derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.0%derivedbetween the last two annual amendments
Advisor growth, one year
-9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$15.3M, 40 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
  • 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$187M50%
  • Individuals$174M46%
  • Charitable organizations$12.5M3.3%
  • Pension and profit-sharing plans$526,7370.1%
Individual clients
407reported
HNW clients
111reported
Pension plan clients
1reported
Charitable clients
16reported
Accounts
1,610reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$15.3M for 40 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• M••••••• W•••• · Principal/Chief Compliance Officercontrol
      since 03/1984 · owns 75% or more
    • R•••••••• T••• J••• · Chief Operating Officercontrol
      since 11/2017 · owns less than 5%
    • R•••• J••••• R• · Chief Investment Officer/Vice Presidentcontrol
      since 03/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,669 to 1,610
      Jun 12, 2018 to Feb 20, 2019
    • Charity clients · 17 to 16
      Jun 12, 2018 to Feb 20, 2019
    • HNW clients · 126 to 111
      Jun 12, 2018 to Feb 20, 2019
    • Individual clients · 410 to 407
      Jun 12, 2018 to Feb 20, 2019
    • Pension plan clients · 3 to 1
      Jun 12, 2018 to Feb 20, 2019
    • Assets in custody · $13.3M to $15.3M
      Jun 12, 2018 to Feb 20, 2019
    • Employees · 13 to 10
      Jun 12, 2018 to Feb 20, 2019
    • State-registered IARs · 11 to 10
      Jun 12, 2018 to Feb 20, 2019
    • Discretionary RAUM · $394M to $374M
      Jun 12, 2018 to Feb 20, 2019
    • HNW RAUM · $205M to $187M
      Jun 12, 2018 to Feb 20, 2019
    • Individual RAUM · $174M to $174M
      Jun 12, 2018 to Feb 20, 2019
    • Pension RAUM · $1.7M to $526,737
      Jun 12, 2018 to Feb 20, 2019
    • RAUM · $394M to $374M
      Jun 12, 2018 to Feb 20, 2019
    • Accounts · 1,561 to 1,669
      Jan 26, 2018 to Mar 23, 2018
    • Advisory employees · 11 to 10
      Jan 26, 2018 to Mar 23, 2018
    • Charity clients · unset to 17.0
      Jan 26, 2018 to Mar 23, 2018
    • HNW clients · unset to 126.0
      Jan 26, 2018 to Mar 23, 2018
    • Individual clients · unset to 410.0
      Jan 26, 2018 to Mar 23, 2018
    • Pension plan clients · unset to 3.0
      Jan 26, 2018 to Mar 23, 2018
    • Assets in custody · $7.6M to $13.3M
      Jan 26, 2018 to Mar 23, 2018
    • Custody of client assets · false to true
      Jan 26, 2018 to Mar 23, 2018
    • Employees · 14 to 13
      Jan 26, 2018 to Mar 23, 2018
    • Discretionary RAUM · $356M to $394M
      Jan 26, 2018 to Mar 23, 2018
    • HNW RAUM · unset to 205240248.0
      Jan 26, 2018 to Mar 23, 2018
    • Individual RAUM · unset to 174487378.0
      Jan 26, 2018 to Mar 23, 2018
    • Pension RAUM · unset to 1684450.0
      Jan 26, 2018 to Mar 23, 2018
    • RAUM · $356M to $394M
      Jan 26, 2018 to Mar 23, 2018
    • Other offices · unset to 0.0
      Mar 20, 2017 to Nov 29, 2017
    • Accounts · 1,514 to 1,561
      Jan 20, 2017 to Mar 20, 2017
    • Advisory employees · 10 to 11
      Jan 20, 2017 to Mar 20, 2017
    • Assets in custody · $7.1M to $7.6M
      Jan 20, 2017 to Mar 20, 2017
    • Employees · 15 to 14
      Jan 20, 2017 to Mar 20, 2017
    • State-registered IARs · 10 to 11
      Jan 20, 2017 to Mar 20, 2017
    • Discretionary RAUM · $303M to $356M
      Jan 20, 2017 to Mar 20, 2017
    • RAUM · $303M to $356M
      Jan 20, 2017 to Mar 20, 2017
    • Accounts · 1,455 to 1,514
      Mar 20, 2015 to Mar 18, 2016
    • Assets in custody · $5.1M to $7.1M
      Mar 20, 2015 to Mar 18, 2016
    • Employees · 16 to 15
      Mar 20, 2015 to Mar 18, 2016
    • Discretionary RAUM · $315M to $303M
      Mar 20, 2015 to Mar 18, 2016
    • RAUM · $315M to $303M
      Mar 20, 2015 to Mar 18, 2016
    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