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

C••••••• C•••••• C••••••••• I•••

Former SEC-registered adviserCharlotte, North CarolinaCRD 116802SEC 801-65968IAPD
Latest filing Feb 19, 2021
First filing on the tape Mar 29, 2012 · 26 filings
RAUM
$364M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$364M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$364M as of Feb 16, 2021
Mar 29, 2012$142M then
HNW client RAUM$354M as of Feb 16, 2021
Feb 8, 2018$276M then
State-registered IARs (5.B.3)3 as of Feb 16, 2021
Mar 29, 20120 then
Employees (5.A)5 as of Feb 16, 2021
Mar 26, 20132 then
Private funds1 as of Feb 11, 2014
Mar 29, 20122 then
RAUM +8.7% over the last fiscal year+8.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 19, 2021; every figure names its basis
RAUM per advisor
$121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$617,308derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$80.4M, 54 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)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$354M97%
  • Individuals$10.6M2.9%
Individual clients
30reported
HNW clients
81reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
590reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$80.4M for 54 clientsreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    H• G••••• N•••••• R••••••••• L••no longer reportedOther Private Fund$522,6858Mar 29, 2012
    H• P••••••• L••no longer reportedLiquidity Fund$011Mar 29, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • F•••• B••••• H••••• · Presidentcontrol
      since 01/1994 · owns 75% or more
    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 · 595 to 590
      Dec 1, 2020 to Feb 16, 2021
    • Individual clients · 29 to 30
      Dec 1, 2020 to Feb 16, 2021
    • Assets in custody · $19.1M to $80.4M
      Dec 1, 2020 to Feb 16, 2021
    • Employees · 4 to 5
      Dec 1, 2020 to Feb 16, 2021
    • Discretionary RAUM · $335M to $364M
      Dec 1, 2020 to Feb 16, 2021
    • HNW RAUM · $325M to $354M
      Dec 1, 2020 to Feb 16, 2021
    • Individual RAUM · $10.3M to $10.6M
      Dec 1, 2020 to Feb 16, 2021
    • RAUM · $335M to $364M
      Dec 1, 2020 to Feb 16, 2021
    • Accounts · 557 to 595
      Jun 27, 2019 to Feb 5, 2020
    • HNW clients · 79 to 81
      Jun 27, 2019 to Feb 5, 2020
    • Assets in custody · $12.7M to $19.1M
      Jun 27, 2019 to Feb 5, 2020
    • State-registered IARs · 1 to 3
      Jun 27, 2019 to Feb 5, 2020
    • Discretionary RAUM · $284M to $335M
      Jun 27, 2019 to Feb 5, 2020
    • HNW RAUM · $273M to $325M
      Jun 27, 2019 to Feb 5, 2020
    • Individual RAUM · $11.0M to $10.3M
      Jun 27, 2019 to Feb 5, 2020
    • RAUM · $284M to $335M
      Jun 27, 2019 to Feb 5, 2020
    • Accounts · 608 to 557
      Oct 29, 2018 to Jan 30, 2019
    • Advisory employees · 2 to 1
      Oct 29, 2018 to Jan 30, 2019
    • HNW clients · 80 to 79
      Oct 29, 2018 to Jan 30, 2019
    • Individual clients · 25 to 29
      Oct 29, 2018 to Jan 30, 2019
    • Discretionary RAUM · $288M to $284M
      Oct 29, 2018 to Jan 30, 2019
    • HNW RAUM · $276M to $273M
      Oct 29, 2018 to Jan 30, 2019
    • Individual RAUM · $11.4M to $11.0M
      Oct 29, 2018 to Jan 30, 2019
    • RAUM · $288M to $284M
      Oct 29, 2018 to Jan 30, 2019
    • Assets in custody · $214,857 to $12.7M
      Jan 30, 2019 to Jan 30, 2019
    • HNW clients · unset to 80.0
      Feb 21, 2017 to Feb 8, 2018
    • Individual clients · unset to 25.0
      Feb 21, 2017 to Feb 8, 2018
    • Assets in custody · $228,364 to $214,857
      Feb 21, 2017 to Feb 8, 2018
    • Employees · 2 to 4
      Feb 21, 2017 to Feb 8, 2018
    • Other offices · unset to 0.0
      Feb 21, 2017 to Feb 8, 2018
    • Discretionary RAUM · $251M to $288M
      Feb 21, 2017 to Feb 8, 2018
    • HNW RAUM · unset to 276223030.0
      Feb 21, 2017 to Feb 8, 2018
    • Individual RAUM · unset to 11393842.0
      Feb 21, 2017 to Feb 8, 2018
    • RAUM · $251M to $288M
      Feb 21, 2017 to Feb 8, 2018
    • Accounts · 612 to 608
      Feb 21, 2017 to Feb 8, 2018
    • Advisory employees · 1 to 2
      Feb 21, 2017 to Feb 8, 2018
    • Accounts · 558 to 612
      Nov 15, 2016 to Jan 23, 2017
    • Advisory activities · 3 to 2
      Nov 15, 2016 to Jan 23, 2017
    • Assets in custody · $254,520 to $228,364
      Nov 15, 2016 to Jan 23, 2017
    • Discretionary RAUM · $211M to $251M
      Nov 15, 2016 to Jan 23, 2017
    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