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

R••••••• P••••••• L••

Former SEC-registered adviserHickory, North CarolinaCRD 114288SEC 801-68076IAPD
Latest filing May 31, 2018
First filing on the tape Mar 22, 2012 · 12 filings
RAUM
$236M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
91%
$214M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$236M as of Jan 23, 2018
Mar 22, 2012$109M then
HNW client RAUM: $158M
State-registered IARs (5.B.3)5 as of Jan 23, 2018
Mar 22, 20120 then
Employees (5.A)8 as of Jan 23, 2018
Feb 20, 20138 then
Private funds: no history
RAUM +89% over the last fiscal year+22% a year over threeIARs 5 to 5
Practice profile
derived from the filing of May 31, 2018; every figure names its basis
RAUM per advisor
$47.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$305,699derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+89%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 assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$124MreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$158M67%
  • Individuals$56.0M24%
  • Pension and profit-sharing plans$22.0M9.3%
Individual clients
220reported
HNW clients
57reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
772reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• C•••• V••••• · Membercontrol
    since 03/2006 · owns 25% to 50%
  • F••••••• R•••••• B••••• · Membercontrol
    since 03/2006 · owns 25% to 50%
  • Y••••• S•••••••• F••••••• · Membercontrol
    since 03/2006 · owns 25% to 50%
  • Y••••• S•••••••• F••••••• · Managing Member/Chief Compliance Officercontrol
    since 03/2006 · 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 · 248 to 772
    Jan 25, 2017 to Jan 23, 2018
  • HNW clients · unset to 57.0
    Jan 25, 2017 to Jan 23, 2018
  • Individual clients · unset to 220.0
    Jan 25, 2017 to Jan 23, 2018
  • Pension plan clients · unset to 8.0
    Jan 25, 2017 to Jan 23, 2018
  • Other offices · unset to 0.0
    Jan 25, 2017 to Jan 23, 2018
  • HNW RAUM · unset to 158000000.0
    Jan 25, 2017 to Jan 23, 2018
  • Individual RAUM · unset to 56000000.0
    Jan 25, 2017 to Jan 23, 2018
  • Non-discretionary RAUM · $125M to $236M
    Jan 25, 2017 to Jan 23, 2018
  • Pension RAUM · unset to 22000000.0
    Jan 25, 2017 to Jan 23, 2018
  • RAUM · $125M to $236M
    Jan 25, 2017 to Jan 23, 2018
  • Wrap assets (manager) · unset to 0.0
    Jan 25, 2017 to Jan 23, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Jan 25, 2017 to Jan 23, 2018
  • Accounts · 263 to 248
    Jan 27, 2016 to Jan 25, 2017
  • Non-discretionary RAUM · $117M to $125M
    Jan 27, 2016 to Jan 25, 2017
  • RAUM · $117M to $125M
    Jan 27, 2016 to Jan 25, 2017
  • Accounts · 276 to 263
    Feb 9, 2015 to Jan 27, 2016
  • Non-discretionary RAUM · $130M to $117M
    Feb 9, 2015 to Jan 27, 2016
  • RAUM · $130M to $117M
    Feb 9, 2015 to Jan 27, 2016
  • Accounts · 274 to 276
    Jul 1, 2014 to Feb 9, 2015
  • Non-discretionary RAUM · $127M to $130M
    Jul 1, 2014 to Feb 9, 2015
  • RAUM · $127M to $130M
    Jul 1, 2014 to Feb 9, 2015
  • Accounts · 259 to 274
    Apr 18, 2013 to Jan 22, 2014
  • State-registered IARs · 6 to 5
    Apr 18, 2013 to Jan 22, 2014
  • Non-discretionary RAUM · $97.2M to $127M
    Apr 18, 2013 to Jan 22, 2014
  • RAUM · $97.2M to $127M
    Apr 18, 2013 to Jan 22, 2014
  • Accounts · 263 to 259
    Mar 22, 2012 to Feb 20, 2013
  • Advisory employees · unset to 4.0
    Mar 22, 2012 to Feb 20, 2013
  • BD registered reps · unset to 6.0
    Mar 22, 2012 to Feb 20, 2013
  • Employees · unset to 8.0
    Mar 22, 2012 to Feb 20, 2013
  • State-registered IARs · 0 to 6
    Mar 22, 2012 to Feb 20, 2013
  • Non-discretionary RAUM · $109M to $97.2M
    Mar 22, 2012 to Feb 20, 2013
  • RAUM · $109M to $97.2M
    Mar 22, 2012 to Feb 20, 2013
Signals
1 dated events
  • R••••••• P••••••• L•• reported RAUM $236.0M, up 89% from $125.0M (2017-01-25 to 2018-01-23)
    Jan 23, 2018 · 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.
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