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••••• A•••••••• I•••

Former SEC-registered adviserCharlotte, North CarolinaCRD 111093SEC 801-60113IAPD
Latest filing Feb 24, 2017
First filing on the tape Feb 13, 2012 · 8 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.4B as of Feb 24, 2017
Feb 13, 2012$655M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Feb 24, 2017
Feb 13, 20120 then
Employees (5.A)18 as of Feb 24, 2017
Mar 28, 201312 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Feb 24, 2017; every figure names its basis
RAUM per advisor
$194MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$328,900derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,135reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• J••••••• A•••• · Vice President And Director Of Portfolio Managementcontrol
      since 01/2007 · owns 10% to 25%
    • M•••••• J•••• K••• · Executive Vice President And Secretarycontrol
      since 05/2004 · owns 25% to 50%
    • M•••••• B••••• S•••••• · Vice President And Chief Compliance Officercontrol
      since 01/2015 · owns 5% to 10%
    • S•••• R•••••• V••••••• · President, Treasurer, And Chief Executive Officercontrol
      since 12/1999 · owns 25% to 50%
    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 · 3,826 to 4,135
      Mar 10, 2016 to Feb 24, 2017
    • Advisory employees · 5 to 6
      Mar 10, 2016 to Feb 24, 2017
    • Employees · 14 to 18
      Mar 10, 2016 to Feb 24, 2017
    • State-registered IARs · 6 to 7
      Mar 10, 2016 to Feb 24, 2017
    • Discretionary RAUM · $1.2B to $1.4B
      Mar 10, 2016 to Feb 24, 2017
    • Non-discretionary RAUM · $6.9M to $0
      Mar 10, 2016 to Feb 24, 2017
    • RAUM · $1.2B to $1.4B
      Mar 10, 2016 to Feb 24, 2017
    • Accounts · 3,591 to 3,826
      Sep 1, 2015 to Mar 10, 2016
    • Employees · 12 to 14
      Sep 1, 2015 to Mar 10, 2016
    • State-registered IARs · 5 to 6
      Sep 1, 2015 to Mar 10, 2016
    • Discretionary RAUM · $1.1B to $1.2B
      Sep 1, 2015 to Mar 10, 2016
    • Non-discretionary RAUM · $8.2M to $6.9M
      Sep 1, 2015 to Mar 10, 2016
    • RAUM · $1.1B to $1.2B
      Sep 1, 2015 to Mar 10, 2016
    • Accounts · 3,010 to 3,591
      Jan 31, 2014 to Mar 19, 2015
    • Discretionary RAUM · $992M to $1.1B
      Jan 31, 2014 to Mar 19, 2015
    • Non-discretionary RAUM · $0 to $8.2M
      Jan 31, 2014 to Mar 19, 2015
    • RAUM · $992M to $1.1B
      Jan 31, 2014 to Mar 19, 2015
    • Accounts · 3,002 to 3,010
      Dec 18, 2013 to Jan 31, 2014
    • Business name · S••••• C••••••••• I••• to M••••• A•••••••• I•••
      Dec 18, 2013 to Jan 31, 2014
    • Legal name · S••••• C••••••••• I••• to M••••• A•••••••• I•••
      Dec 18, 2013 to Jan 31, 2014
    • Discretionary RAUM · $978M to $992M
      Dec 18, 2013 to Jan 31, 2014
    • RAUM · $978M to $992M
      Dec 18, 2013 to Jan 31, 2014
    • Accounts · 3,190 to 3,002
      Mar 28, 2013 to Dec 18, 2013
    • Discretionary RAUM · $798M to $978M
      Mar 28, 2013 to Dec 18, 2013
    • Non-discretionary RAUM · $29.0M to $0
      Mar 28, 2013 to Dec 18, 2013
    • RAUM · $827M to $978M
      Mar 28, 2013 to Dec 18, 2013
    • Accounts · 2,800 to 3,190
      Feb 13, 2012 to Mar 28, 2013
    • Advisory employees · unset to 5.0
      Feb 13, 2012 to Mar 28, 2013
    • Employees · unset to 12.0
      Feb 13, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 5
      Feb 13, 2012 to Mar 28, 2013
    • Discretionary RAUM · $628M to $798M
      Feb 13, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $27.0M to $29.0M
      Feb 13, 2012 to Mar 28, 2013
    • RAUM · $655M to $827M
      Feb 13, 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