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

S••••••••• C••••• P••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 112660SEC 801-57494IAPD
Latest filing Nov 14, 2018
First filing on the tape Nov 29, 2011 · 28 filings
RAUM
$80.7M
reported, Item 5.F
Discretionary
0.0%
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
7
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$80.7M as of Mar 29, 2018
Mar 22, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 29, 2018
Mar 22, 20120 then
Employees (5.A)7 as of Mar 29, 2018
Mar 4, 20133 then
Private funds: no history
RAUM -40% over the last fiscal year-43% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 14, 2018; every figure names its basis
RAUM per advisor
$40.4MderivedRAUM 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
$16.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-40%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
portfolio management for pooled vehiclesreportedItem 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
  • Pooled investment vehicles$80.7M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
      • D••••••• W•••••• E•••••• · Managercontrol
        since 06/2018 · owns less than 5%
      • P•••• C••••••••• W•••••• · President/Managing Membercontrol
        since 08/2015 · owns less than 5%
      • S••••• J•••••• B• · Managing Director/Managing Membercontrol
        since 03/2016 · owns less than 5%
      • B••••••• V••••••• · Secretary
        since 08/2016 · owns less than 5%
      • L••••••••• D••••• L• · Assistant Secretary
        since 08/2016 · owns less than 5%
      • L•••••• M••••••• R••••• · Portfolio Manager/Elected Manager
        since 11/2013 · owns less than 5%
      • N•••••• S••••••• G•••••••• · Treasurer
        since 04/2014 · owns less than 5%
      • T•••••• S••••• C••••• · Chief Compliance Officer/Manager
        since 12/2007 · owns less than 5%
      Entity owners
      • W•••• F•••• • C•••••• · Shareholder
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list S••••••••• C••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 5
        Nov 17, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Nov 17, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Nov 17, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Nov 17, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Nov 17, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Nov 17, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Nov 17, 2017 to Mar 29, 2018
      • Discretionary RAUM · $136M to $0
        Nov 17, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $0 to $80.7M
        Nov 17, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 80700000.0
        Nov 17, 2017 to Mar 29, 2018
      • RAUM · $136M to $80.7M
        Nov 17, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Nov 17, 2017
      • Accounts · 8 to 7
        Aug 23, 2016 to Mar 29, 2017
      • BD registered reps · 3 to 6
        Aug 23, 2016 to Mar 29, 2017
      • State-registered IARs · 1 to 2
        Aug 23, 2016 to Mar 29, 2017
      • Discretionary RAUM · $222M to $136M
        Aug 23, 2016 to Mar 29, 2017
      • RAUM · $222M to $136M
        Aug 23, 2016 to Mar 29, 2017
      • Financial planning clients · unset to 0
        Aug 28, 2015 to Mar 17, 2016
      • Discretionary RAUM · $425M to $222M
        Aug 28, 2015 to Mar 17, 2016
      • RAUM · $425M to $222M
        Aug 28, 2015 to Mar 17, 2016
      • Accounts · 11 to 8
        Feb 9, 2015 to Mar 31, 2015
      • Employees · 3 to 7
        Feb 9, 2015 to Mar 31, 2015
      • Discretionary RAUM · $1.0B to $425M
        Feb 9, 2015 to Mar 31, 2015
      • RAUM · $1.0B to $425M
        Feb 9, 2015 to Mar 31, 2015
      • Discretionary RAUM · $1.5B to $1.0B
        Jan 8, 2014 to Jan 31, 2014
      • RAUM · $1.5B to $1.0B
        Jan 8, 2014 to Jan 31, 2014
      • Discretionary RAUM · $1.9B to $1.5B
        Jan 22, 2013 to Mar 4, 2013
      • RAUM · $1.9B to $1.5B
        Jan 22, 2013 to Mar 4, 2013
      • Advisory employees · unset to 1.0
        Sep 13, 2012 to Jan 22, 2013
      • BD registered reps · unset to 3.0
        Sep 13, 2012 to Jan 22, 2013
      • Employees · unset to 3.0
        Sep 13, 2012 to Jan 22, 2013
      • State-registered IARs · 0 to 1
        Sep 13, 2012 to Jan 22, 2013
      • Insurance-licensed employees · unset to 2.0
        Nov 29, 2011 to Mar 22, 2012
      • Discretionary RAUM · $2.6B to $1.9B
        Nov 29, 2011 to Mar 22, 2012
      • RAUM · $2.6B to $1.9B
        Nov 29, 2011 to Mar 22, 2012
      • Related bank · false to true
        Nov 29, 2011 to Mar 22, 2012
      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