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••••• W••••• A•••••••• I•••

Former SEC-registered adviserCharlotte, North CarolinaCRD 109873SEC 801-57345IAPD
Legal name M••••• W••••• A•••••••• I••
Latest filing Jun 26, 2018
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$218M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$4.7M gross assets
History
10 filings and snapshots on the tape
RAUM$279M as of Mar 30, 2018
Mar 28, 2012$169M then
HNW client RAUM: $199M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 28, 20120 then
Employees (5.A)7 as of Mar 30, 2018
Mar 26, 20137 then
Private funds1 as of Mar 30, 2018
Mar 28, 20121 then
RAUM +11% over the last fiscal year+2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 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
$2.4MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.6%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
+11%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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Custody
$4.7M, 55 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$199M71%
  • Corporations and businesses$51.7M19%
  • Individuals$19.2M6.9%
  • Pooled investment vehicles$4.7M1.7%
  • Pension and profit-sharing plans$3.3M1.2%
  • Charitable organizations$1.1M0.4%
Individual clients
52reported
HNW clients
83reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
136reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$4.7M for 55 clientsreported
Compensation
% of AUM, 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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••• P•••••• O••••••••• F••• I• L••Other Private Fund$4.7M64Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• G••••• K• · President, Chief Compliance Officercontrol
        since 10/1990 · owns 25% to 50%
      • A•••••• A••••• L• · Trusteecontrol
        since 08/2013 · owns 25% to 50% of A•••• L• A••••• R•••••••• T••••
      Entity owners
      • A•••• L• A••••• R•••••••• T•••• · Owner
        direct · owns 25% to 50%
      • N•• C••••••••• · Trustee
        indirect · owns 25% to 50% of N•• C••••••••• T••••
      • N•• C••••••••• T•••• · Owner
        direct · owns 10% to 25%
      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
      • Corporate clients · unset to 6.0
        Jul 5, 2017 to Mar 30, 2018
      • HNW clients · unset to 83.0
        Jul 5, 2017 to Mar 30, 2018
      • Individual clients · unset to 52.0
        Jul 5, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Jul 5, 2017 to Mar 30, 2018
      • Assets in custody · $5.7M to $4.7M
        Jul 5, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jul 5, 2017 to Mar 30, 2018
      • Discretionary RAUM · $250M to $279M
        Jul 5, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 198547368.0
        Jul 5, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 19221523.0
        Jul 5, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 3346700.0
        Jul 5, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 4747576.0
        Jul 5, 2017 to Mar 30, 2018
      • RAUM · $250M to $279M
        Jul 5, 2017 to Mar 30, 2018
      • Accounts · 139 to 136
        Oct 19, 2016 to Mar 31, 2017
      • Assets in custody · $8.7M to $5.7M
        Oct 19, 2016 to Mar 31, 2017
      • Discretionary RAUM · $249M to $250M
        Oct 19, 2016 to Mar 31, 2017
      • RAUM · $249M to $250M
        Oct 19, 2016 to Mar 31, 2017
      • Accounts · 141 to 139
        Apr 1, 2015 to Mar 24, 2016
      • Assets in custody · $9.9M to $8.7M
        Apr 1, 2015 to Mar 24, 2016
      • Discretionary RAUM · $256M to $249M
        Apr 1, 2015 to Mar 24, 2016
      • RAUM · $256M to $249M
        Apr 1, 2015 to Mar 24, 2016
      • Accounts · 145 to 141
        Mar 19, 2014 to Apr 1, 2015
      • Assets in custody · $11.6M to $9.9M
        Mar 19, 2014 to Apr 1, 2015
      • Discretionary RAUM · $239M to $256M
        Mar 19, 2014 to Apr 1, 2015
      • RAUM · $239M to $256M
        Mar 19, 2014 to Apr 1, 2015
      • Accounts · 154 to 145
        Mar 26, 2013 to Mar 19, 2014
      • Assets in custody · $10.2M to $11.6M
        Mar 26, 2013 to Mar 19, 2014
      • Discretionary RAUM · $211M to $239M
        Mar 26, 2013 to Mar 19, 2014
      • RAUM · $211M to $239M
        Mar 26, 2013 to Mar 19, 2014
      • Accounts · 159 to 154
        Mar 28, 2012 to Mar 26, 2013
      • Advisory employees · unset to 4.0
        Mar 28, 2012 to Mar 26, 2013
      • Advisory activities · 5 to 6
        Mar 28, 2012 to Mar 26, 2013
      • Assets in custody · $9.8M to $10.2M
        Mar 28, 2012 to Mar 26, 2013
      • Employees · unset to 7.0
        Mar 28, 2012 to Mar 26, 2013
      • Discretionary RAUM · $169M to $211M
        Mar 28, 2012 to Mar 26, 2013
      • RAUM · $169M to $211M
        Mar 28, 2012 to Mar 26, 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