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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SEC-registered adviser
Y•• D•••• • A••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Jul 27, 1995
RAUM
$305M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$305M as of Mar 30, 2026
Mar 28, 2018$222M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Mar 30, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +8.3% over the last fiscal year-17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $152MderivedRAUM 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
- $50.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$286M94%
- Insurance companies$19.0M6.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C•••••• D•••• | Columbia, Sc | Jun 9, 2016 | 42 y | 0 |
| D•••• A••••• Y•• | Columbia, Sc | Nov 20, 2017 | 43 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M••••••• C•••••• · President/Secretary/Chief Compliance Officercontrolsince 01/1984 · owns 50% to 75%
- Y••• D••••• A••••• · Chairman And Treasurercontrolsince 01/1984 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbia, Sc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (108 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $100M to $500M (108) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $281M to $305MMar 28, 2025 to Mar 30, 2026
- RAUM · $281M to $305MMar 28, 2025 to Mar 30, 2026
- Accounts · 5 to 6Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $262M to $281MMar 29, 2024 to Mar 28, 2025
- RAUM · $262M to $281MMar 29, 2024 to Mar 28, 2025
- Accounts · 10 to 5Mar 31, 2023 to Mar 29, 2024
- Charity clients · 9.0 to unsetMar 31, 2023 to Mar 29, 2024
- Employees · 3 to 2Mar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $530M to $262MMar 31, 2023 to Mar 29, 2024
- RAUM · $530M to $262MMar 31, 2023 to Mar 29, 2024
- Accounts · 11 to 10Mar 31, 2022 to Mar 31, 2023
- Charity clients · 10 to 9Mar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $631M to $530MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- RAUM · $631M to $530MMar 31, 2022 to Mar 31, 2023
- Accounts · 17 to 11Mar 31, 2021 to Mar 31, 2022
- Charity clients · 8 to 10Mar 31, 2021 to Mar 31, 2022
- Employees · 4 to 3Mar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $1.2B to $631MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · 115104443.0 to unsetMar 31, 2021 to Mar 31, 2022
- RAUM · $1.2B to $631MMar 31, 2021 to Mar 31, 2022
- Accounts · 20 to 17Mar 30, 2020 to Mar 31, 2021
- Charity clients · 13 to 8Mar 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.5B to $1.2BMar 30, 2020 to Mar 31, 2021
- Pension RAUM · $202M to $115MMar 30, 2020 to Mar 31, 2021
- RAUM · $1.5B to $1.2BMar 30, 2020 to Mar 31, 2021
- Charity clients · 12 to 13Mar 28, 2019 to Mar 30, 2020
- Pension plan clients · 5.0 to unsetMar 28, 2019 to Mar 30, 2020
- HNW RAUM · unset to 0.0Mar 28, 2019 to Mar 30, 2020
- Individual RAUM · unset to 0.0Mar 28, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $1.3B to $1.5BMar 28, 2019 to Mar 30, 2020
- Pension RAUM · $185M to $202MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2019 to Mar 30, 2020
- RAUM · $1.3B to $1.5BMar 28, 2019 to Mar 30, 2020
- Accounts · 21 to 20Jan 9, 2019 to Mar 28, 2019
- Pension plan clients · 6 to 5Jan 9, 2019 to Mar 28, 2019
- Non-discretionary RAUM · $1.4B to $1.3BJan 9, 2019 to Mar 28, 2019
- Pension RAUM · $200M to $185MJan 9, 2019 to Mar 28, 2019
- RAUM · $1.4B to $1.3BJan 9, 2019 to Mar 28, 2019
Signals
3 dated events
- Y•• D•••• • A••••••••• I•• reported RAUM $261.9M, down 51% from $529.5M (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Y•• D•••• • A••••••••• I•• reported RAUM $631.1M, down 47% from $1.2B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Y•• D•••• • A••••••••• I•• reported RAUM $1.4B, up 526% from $221.5M (2018-03-28 to 2019-01-09)Jan 9, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 803-256-1212, X29reportedpublic record, Form ADV, Mar 30, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026