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••••••••• A•••••••• L••

Former SEC-registered adviserDurham, North CarolinaCRD 109520SEC 801-58025IAPD
Latest filing Mar 30, 2018
First filing on the tape Mar 28, 2012 · 22 filings
RAUM
$6.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$2.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$6.8B as of Mar 30, 2018
Mar 28, 2012$3.4B then
HNW client RAUM: $2.0M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 28, 20120 then
Employees (5.A)23 as of Mar 30, 2018
Mar 28, 201327 then
Private funds: no history
RAUM +9.1% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
$245,215derivedHNW RAUM over HNW clients
Average account
$131MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
90%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
+9.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$2.1MreportedItem 5.I
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$6.0B90%
  • Corporations and businesses$467M7.1%
  • Pension and profit-sharing plans$148M2.2%
  • Charitable organizations$26.4M0.4%
  • Insurance companies$2.7M0.0%
  • High-net-worth individuals$2.0M0.0%
Individual clients
n/areported
HNW clients
8reported
Pension plan clients
5reported
Charitable clients
6reported
Accounts
52reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $2.1M managedreported
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
none on the tape
    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
      • C••••• C••••••• L•••••• · Co Cio/Evpcontrol
        since 11/2010 · owns less than 5%
      • G••••• I••••• H••••• · Executive Officer/Manager/Cio/Ceocontrol
        since 08/2000 · owns less than 5%
      • S•••••• S••••• · Chief Operating Officer/Evpcontrol
        since 02/2009 · owns less than 5%
      • W••••• M•••••• P••••••• · Cco And Cfocontrol
        since 11/2013 · owns less than 5%
      • G••••• I••••• H••••• · Member Managercontrol
        since 06/2005 · owns 75% or more of I• G•••• C••
      • N••••••• L•••••• · Chief Investment Strategist/Evp
        since 10/2016 · owns less than 5%
      Entity owners
      • I• G•••• C•• · Member
        direct · owns 5% to 10%
      • P••••••• A•••• M••••••••• L•• · Member
        direct · owns 75% or more
      • I• G•••• C•• · Member Manager
        indirect · owns 25% to 50% of P••••••• Asset Management
      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 · 47 to 52
        Mar 30, 2017 to Mar 30, 2018
      • Advisory employees · 14 to 12
        Mar 30, 2017 to Mar 30, 2018
      • Charity clients · unset to 6.0
        Mar 30, 2017 to Mar 30, 2018
      • Corporate clients · unset to 9.0
        Mar 30, 2017 to Mar 30, 2018
      • HNW clients · unset to 8.0
        Mar 30, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 5.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Employees · 25 to 23
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $6.2B to $6.8B
        Mar 30, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 1961716.0
        Mar 30, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $18.6M to $16.4M
        Mar 30, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 148030449.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $6.2B to $6.8B
        Mar 30, 2017 to Mar 30, 2018
      • Wrap assets (manager) · unset to 2091968.0
        Mar 30, 2017 to Mar 30, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Accounts · 36 to 47
        Dec 19, 2016 to Mar 30, 2017
      • Advisory employees · 11 to 14
        Dec 19, 2016 to Mar 30, 2017
      • Employees · 21 to 25
        Dec 19, 2016 to Mar 30, 2017
      • Discretionary RAUM · $5.6B to $6.2B
        Dec 19, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $6.8M to $18.6M
        Dec 19, 2016 to Mar 30, 2017
      • RAUM · $5.6B to $6.2B
        Dec 19, 2016 to Mar 30, 2017
      • Discretionary RAUM · $2.5B to $5.6B
        Aug 4, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $3.3M to $6.8M
        Aug 4, 2015 to Mar 28, 2016
      • RAUM · $2.5B to $5.6B
        Aug 4, 2015 to Mar 28, 2016
      • Accounts · 41 to 36
        Nov 12, 2014 to Mar 30, 2015
      • Advisory employees · 13 to 11
        Nov 12, 2014 to Mar 30, 2015
      • Advisory activities · 3 to 2
        Nov 12, 2014 to Mar 30, 2015
      • Employees · 24 to 21
        Nov 12, 2014 to Mar 30, 2015
      • Discretionary RAUM · $2.6B to $2.5B
        Nov 12, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $87.8M to $3.3M
        Nov 12, 2014 to Mar 30, 2015
      • RAUM · $2.7B to $2.5B
        Nov 12, 2014 to Mar 30, 2015
      • Accounts · 45 to 41
        Nov 18, 2013 to Mar 28, 2014
      • Employees · 27 to 24
        Nov 18, 2013 to Mar 28, 2014
      • Discretionary RAUM · $3.4B to $2.6B
        Nov 18, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $0 to $87.8M
        Nov 18, 2013 to Mar 28, 2014
      • RAUM · $3.4B to $2.7B
        Nov 18, 2013 to Mar 28, 2014
      • Accounts · 46 to 45
        Aug 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 13.0
        Aug 20, 2012 to Mar 28, 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