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
C• B••••••••• P•••••• W•••••
Legal name B••••••••• L••
Latest filing Mar 1, 2023
First filing on the tape Mar 21, 2012 · 41 filings
RAUM
$5.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$4.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
79
29 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$5.4B as of Mar 30, 2022
Mar 21, 2012$788M then
HNW client RAUM$3.6B as of Mar 30, 2022
Mar 29, 2018$2.1B then
State-registered IARs (5.B.3)29 as of Mar 30, 2022
Mar 27, 20130 then
Employees (5.A)79 as of Mar 30, 2022
Mar 27, 201320 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 27 to 29
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
- RAUM per advisor
- $185MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $715,490derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 14.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.4%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, 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
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $2.0B, 943 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)
- 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$3.6B67%
- Pension and profit-sharing plans$970M18%
- Individuals$597M11%
- Corporations and businesses$137M2.5%
- Charitable organizations$55.1M1.0%
- Individual clients
- 692reported
- HNW clients
- 1,051reported
- Pension plan clients
- 507reported
- Charitable clients
- 5reported
- Accounts
- 7,498reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 943 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- J••• B••••• D•••• to C••••••Jan 17, 2023 · RIA to RIA
- B•••••• A••• K•••••• to V••••••• A•••••••• I•••Jun 30, 2022 · RIA to affiliated broker-dealer or bank
- G•••••• H•••• to S•••••••• B••••••••• L••Nov 12, 2021 · RIA to RIA
- I•• M••• C•••••• to C••• L••Jan 4, 2021 · RIA to affiliated broker-dealer or bank
- F•••••••• S•••• W••••• to N•••••••• C•••••• L••Apr 30, 2019 · RIA to RIA
- C•••• J••• D••••••• to A••••• A•••••••• L••Dec 31, 2016 · Other
- P•••••• B•••• K••• to B•• W•••••• L••Jan 5, 2012 · Other
- B•••••• S••••• M••••• to G•••••• B•••••••• L••Aug 25, 2010 · Other
Joined, latest
- M•••••• A••• B•••• from F•••••• F•••• F•••••••• P•••••••Oct 14, 2021 · Other
- G•••••• H•••• from M•• I•••••••• S•••••••• L••Feb 10, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••••• L•••• M••••• from N••••••••• M••••• I••••••••• S•••••••••Jul 3, 2019 · Other
- A••••• S•••••••• V•••••• from L•••• A•••••••• I•••Feb 11, 2019 · Other
- T••••• E•••••••• D••••••••• from P••• A••••• S••••••••• L••Feb 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- B•••• M•••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 10, 2018 · Wirehouse to independent RIA
- E••• A•••••••• H•••••• from M••••• A•••••••• I•••Aug 2, 2017 · Other
- K•••••• W••••• P•• from M••••• A•••••••• I•••Jul 3, 2017 · Other
- T••••• W•••••• F••••• from M••••• A•••••••• I•••Jul 3, 2017 · Other
- B•••• S•••••• M••••• from M••••• A•••••••• I•••Jul 3, 2017 · Other
- F•••••••• S•••• W••••• from S•••• • H••••• W••••• M••••••••• L••Nov 17, 2016 · Other
- M•••••• R••••• D••••• from S•••• • H••••• W••••• M••••••••• L••Jun 30, 2016 · Other
- C••••••••• L•• B••••• from S•••• • H••••• W••••• M••••••••• L••Jun 28, 2016 · Other
- P••••••• D•••• S•••• from B• W••••• M••••••••• L••Jun 24, 2016 · Other
- R•••• C•••• M•••••• from S•••••••• F•••••••• P•••••••• I•••Oct 14, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from M••••• A•••••••• I•••Sep 8, 2017 · Charlotte, Nc · Firm absorbed
- 3 joined from S•••• • H••••• W••••• M••••••••• L••Jul 1, 2016 · Atlanta, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••••• L••••• T•••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- P•••••• R••••••• V•••••• · Chief Executive Officer, Wealth Advisor, Board Of Directors Membercontrolsince 09/2014 · owns less than 5%
- H•••••• D•••• A••• · Chief Operating Officersince 01/2019 · owns less than 5%
- H••••• S•••••• G•••••••• · Director Of Compliancesince 10/2022 · owns less than 5%
Entity owners
- C• P•••••• W•••••• L•• · Ownerdirect · owns 75% or more
- C• F•••••••• C•••• · Ownerindirect · owns 75% or more of C• U• H••••••• I•• · public reporting company
- C• U• H••••••• I•• · Ownerindirect · owns 75% or more of C••• H•••••••• L••
- C• U•• L•• · Ownerindirect · owns 75% or more of C••• H•••••••• L••
- C••• H•••••••• L•• · Ownerindirect · owns 75% or more of C• P•••••• W•••••• L••
Related persons
Schedule D 7.A
- A•••••• C•••••• M••••••••• L••investment advisern
- A•••••• F•••••••• M••••••••• L••investment advisern
- C• P•••••• C•••••• L•investment advisern
- C••••••investment adviseryRAUM $165B
- C••• F••••• O••••• S•••••••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC11 employees
What changed
consecutive filings, newest first
- Business name · B••••••••• L•• to C• B••••••••• P•••••• W•••••Jun 30, 2022 to Oct 10, 2022
- Related insurance company · false to trueMay 19, 2022 to Jun 30, 2022
- Accounts · 7,274 to 7,498Jan 19, 2022 to Mar 30, 2022
- Advisory employees · 28 to 29Jan 19, 2022 to Mar 30, 2022
- Charity clients · 6 to 5Jan 19, 2022 to Mar 30, 2022
- Corporate clients · 40 to 47Jan 19, 2022 to Mar 30, 2022
- HNW clients · 984 to 1,051Jan 19, 2022 to Mar 30, 2022
- Individual clients · 655 to 692Jan 19, 2022 to Mar 30, 2022
- Pension plan clients · 539 to 507Jan 19, 2022 to Mar 30, 2022
- Assets in custody · $2.1B to $2.0BJan 19, 2022 to Mar 30, 2022
- Employees · 76 to 79Jan 19, 2022 to Mar 30, 2022
- State-registered IARs · 27 to 29Jan 19, 2022 to Mar 30, 2022
- Discretionary RAUM · $4.6B to $5.4BJan 19, 2022 to Mar 30, 2022
- HNW RAUM · $3.3B to $3.6BJan 19, 2022 to Mar 30, 2022
- Individual RAUM · $174M to $597MJan 19, 2022 to Mar 30, 2022
- Pension RAUM · $960M to $970MJan 19, 2022 to Mar 30, 2022
- RAUM · $4.6B to $5.4BJan 19, 2022 to Mar 30, 2022
- Related adviser · false to trueJan 19, 2022 to Mar 30, 2022
- Succession · true to falseJun 23, 2021 to Jan 19, 2022
- Succession · false to trueMay 14, 2021 to Jun 23, 2021
- Accounts · 6,984 to 7,274Oct 22, 2020 to Mar 26, 2021
- Advisory employees · 29 to 28Oct 22, 2020 to Mar 26, 2021
- Advisory activities · 4 to 5Oct 22, 2020 to Mar 26, 2021
- Corporate clients · 35 to 40Oct 22, 2020 to Mar 26, 2021
- HNW clients · 806 to 984Oct 22, 2020 to Mar 26, 2021
- Individual clients · 791 to 655Oct 22, 2020 to Mar 26, 2021
- Pension plan clients · 422 to 539Oct 22, 2020 to Mar 26, 2021
- Assets in custody · $988M to $2.1BOct 22, 2020 to Mar 26, 2021
- Employees · 64 to 76Oct 22, 2020 to Mar 26, 2021
- Discretionary RAUM · $4.0B to $4.6BOct 22, 2020 to Mar 26, 2021
- HNW RAUM · $2.8B to $3.3BOct 22, 2020 to Mar 26, 2021
- Individual RAUM · $286M to $174MOct 22, 2020 to Mar 26, 2021
- Pension RAUM · $814M to $960MOct 22, 2020 to Mar 26, 2021
- RAUM · $4.0B to $4.6BOct 22, 2020 to Mar 26, 2021
- Accounts · 6,525 to 6,984Mar 28, 2019 to Mar 27, 2020
- Advisory employees · 23 to 29Mar 28, 2019 to Mar 27, 2020
- Charity clients · 5 to 6Mar 28, 2019 to Mar 27, 2020
- Corporate clients · 14 to 35Mar 28, 2019 to Mar 27, 2020
- HNW clients · 711 to 806Mar 28, 2019 to Mar 27, 2020
- Individual clients · 825 to 791Mar 28, 2019 to Mar 27, 2020
Signals
10 dated events
- Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of C• B••••••••• P•••••• W•••••Feb 28, 2023 · Control person joined · fact
- B•••••• A••• K•••••• left C• B••••••••• P•••••• W••••• for V••••••• A•••••••• I••• (registered 2022-09-29)Jun 30, 2022 · Advisor changed firm · fact
- Winfred Donald Wilson (Partner, Chief Investment Officer, Board Of Directors Member) no longer on Schedule A of C• B••••••••• P•••••• W••••• (listed 2021-03-26, absent 2021-05-14)May 14, 2021 · Control person left · inference
- Lovett Charles Jordan (Partner & Wealth Advisor, Board Of Directors Member) no longer on Schedule A of C• B••••••••• P•••••• W••••• (listed 2021-03-26, absent 2021-05-14)May 14, 2021 · Control person left · inference
- Stephen Brett Miller (Partner, Wealth Advisor & Board Of Directors Member) no longer on Schedule A of C• B••••••••• P•••••• W••••• (listed 2021-03-26, absent 2021-05-14)May 14, 2021 · Control person left · inference
- Warren Kenneth Poe (Board Of Directors Member) no longer on Schedule A of C• B••••••••• P•••••• W••••• (listed 2021-03-26, absent 2021-05-14)May 14, 2021 · Control person left · inference
- Warren David Polstra (Co-Founding Partner, Wealth Advisor, Board Of Directors Member) no longer on Schedule A of C• B••••••••• P•••••• W••••• (listed 2021-03-26, absent 2021-05-14)May 14, 2021 · Control person left · inference
- Warren Kenneth Poe (Board Of Directors Member) appeared on Schedule A of C• B••••••••• P•••••• W•••••Mar 26, 2021 · Control person joined · fact
- Voorhees Robert Sytz (Partner, Wealth Advisor & Management Committee Member) no longer on Schedule A of C• B••••••••• P•••••• W••••• (listed 2020-10-22, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- B••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 3, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- B••••••••• L•• · Private Equityshared crd · intermediary
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