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••••••• R•••••• D•••••••• • C••• L••

Former SEC-registered adviserWinston-Salem, North CarolinaCRD 117825SEC 801-67333IAPD
Latest filing Mar 20, 2015
First filing on the tape Feb 22, 2012 · 6 filings
RAUM
$119M
reported, Item 5.F
Discretionary
57%
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$119M as of Mar 20, 2015
Feb 22, 2012$93.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 20, 2015
Feb 22, 20120 then
Employees (5.A)5 as of Mar 20, 2015
Apr 1, 20135 then
Private funds: no history
RAUM +1.1% over the last fiscal year+8.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 2015; every figure names its basis
RAUM per advisor
$39.6MderivedRAUM 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
$301,378derivedRAUM over accounts (5.F.2.f)
Discretionary
57%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
+1.1%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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
394reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • C••••••• E•••••• D••••• · Membercontrol
      since 03/1996 · owns 25% to 50%
    • D••••••••• J••••• A•••••• · Membercontrol
      since 03/1996 · owns 25% to 50%
    • R•••••• E••••• L•••••• · Membercontrol
      since 03/1996 · 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 · 494 to 394
      Mar 28, 2014 to Mar 20, 2015
    • Discretionary RAUM · $25.3M to $67.2M
      Mar 28, 2014 to Mar 20, 2015
    • Non-discretionary RAUM · $92.2M to $51.5M
      Mar 28, 2014 to Mar 20, 2015
    • RAUM · $117M to $119M
      Mar 28, 2014 to Mar 20, 2015
    • Accounts · 417 to 494
      Apr 10, 2013 to Mar 27, 2014
    • Advisory employees · 3 to 2
      Apr 10, 2013 to Mar 27, 2014
    • Discretionary RAUM · $15.1M to $25.3M
      Apr 10, 2013 to Mar 27, 2014
    • Non-discretionary RAUM · $89.4M to $92.2M
      Apr 10, 2013 to Mar 27, 2014
    • RAUM · $105M to $117M
      Apr 10, 2013 to Mar 27, 2014
    • Accounts · 356 to 417
      Feb 22, 2012 to Apr 1, 2013
    • Advisory employees · unset to 3.0
      Feb 22, 2012 to Apr 1, 2013
    • BD registered reps · unset to 3.0
      Feb 22, 2012 to Apr 1, 2013
    • Employees · unset to 5.0
      Feb 22, 2012 to Apr 1, 2013
    • Financial planning clients · 101-250 to 11-25
      Feb 22, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 3
      Feb 22, 2012 to Apr 1, 2013
    • Discretionary RAUM · $0 to $15.1M
      Feb 22, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $93.6M to $89.4M
      Feb 22, 2012 to Apr 1, 2013
    • RAUM · $93.6M to $105M
      Feb 22, 2012 to Apr 1, 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