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.
SEC-registered adviser
Concorde Financial Resources
Legal name Concorde Financial Resources I Inc.
Latest filing Jul 30, 2026
First filing on the tape Mar 27, 2012 · 33 filings
SEC status approved since Apr 25, 2018
RAUM
$231M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$227M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$231M as of Jul 30, 2026
Mar 27, 2012$50.7M then
HNW client RAUM$170M as of Jul 30, 2026
Mar 27, 2019$58.4M then
State-registered IARs (5.B.3)2 as of Jul 30, 2026
Mar 27, 20120 then
Employees (5.A)2 as of Jul 30, 2026
Feb 6, 20134 then
Private funds: no history
RAUM +9.4% over the last fiscal year+9.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $434,129derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$170M75%
- Individuals$56.1M25%
- Corporations and businesses$270,4280.1%
- Individual clients
- 157reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 532reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mary Catherine Ferguson | York, Sc | Sep 10, 2013 | 25 y | 0 |
| Kenan Christian Kurtz | York, Sc | Jan 17, 2023 | 14 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
- John Michael Menser to Novare Capital ManagementSep 9, 2019 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Catherine Mary Ferguson · Presidentcontrolsince 01/2020 · owns 75% or more
- Marie Jessica Trunck · Chief Compliance Officersince 01/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| York, Sc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- York, SC2 employees
What changed
consecutive filings, newest first
- Accounts · 515 to 532Feb 24, 2025 to Mar 25, 2026
- Corporate clients · 2 to 1Feb 24, 2025 to Mar 25, 2026
- HNW clients · 66 to 74Feb 24, 2025 to Mar 25, 2026
- Individual clients · 164 to 157Feb 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $199M to $226MFeb 24, 2025 to Mar 25, 2026
- HNW RAUM · $149M to $170MFeb 24, 2025 to Mar 25, 2026
- Individual RAUM · $58.7M to $56.1MFeb 24, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $12.1M to $4.8MFeb 24, 2025 to Mar 25, 2026
- RAUM · $211M to $231MFeb 24, 2025 to Mar 25, 2026
- Accounts · 503 to 515Dec 3, 2024 to Feb 24, 2025
- Advisory employees · 3 to 2Dec 3, 2024 to Feb 24, 2025
- BD registered reps · 3 to 2Dec 3, 2024 to Feb 24, 2025
- Charity clients · 1 to 0Dec 3, 2024 to Feb 24, 2025
- HNW clients · 56 to 66Dec 3, 2024 to Feb 24, 2025
- Individual clients · 167 to 164Dec 3, 2024 to Feb 24, 2025
- Employees · 3 to 2Dec 3, 2024 to Feb 24, 2025
- Financial planning clients · 101-250 to 101-250Dec 3, 2024 to Feb 24, 2025
- HQ city · WILKESBORO to YORKDec 3, 2024 to Feb 24, 2025
- HQ state · NC to SCDec 3, 2024 to Feb 24, 2025
- State-registered IARs · 3 to 2Dec 3, 2024 to Feb 24, 2025
- Discretionary RAUM · $172M to $199MDec 3, 2024 to Feb 24, 2025
- HNW RAUM · $119M to $149MDec 3, 2024 to Feb 24, 2025
- Individual RAUM · $60.8M to $58.7MDec 3, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $10.7M to $12.1MDec 3, 2024 to Feb 24, 2025
- RAUM · $183M to $211MDec 3, 2024 to Feb 24, 2025
- Related insurance company · true to falseMar 28, 2024 to May 30, 2024
- Accounts · 478 to 503Feb 29, 2024 to Mar 28, 2024
- Advisory employees · 2 to 3Feb 29, 2024 to Mar 28, 2024
- BD registered reps · 2 to 3Feb 29, 2024 to Mar 28, 2024
- HNW clients · 52 to 56Feb 29, 2024 to Mar 28, 2024
- Individual clients · 165 to 167Feb 29, 2024 to Mar 28, 2024
- State-registered IARs · 2 to 3Feb 29, 2024 to Mar 28, 2024
- Discretionary RAUM · $164M to $172MFeb 29, 2024 to Mar 28, 2024
- HNW RAUM · $116M to $119MFeb 29, 2024 to Mar 28, 2024
- Individual RAUM · $54.6M to $60.8MFeb 29, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $10.2M to $10.7MFeb 29, 2024 to Mar 28, 2024
- RAUM · $174M to $183MFeb 29, 2024 to Mar 28, 2024
- HQ city · NORTH WILKESBORO to WILKESBOROJul 12, 2023 to Feb 29, 2024
- Accounts · 444 to 478Mar 8, 2022 to Mar 18, 2023
- Corporate clients · 1 to 2Mar 8, 2022 to Mar 18, 2023
Signals
3 dated events
- Clayton James Faw (Secretary And Treasurer) no longer on Schedule A of Concorde Financial Resources (listed 2024-03-28, absent 2024-05-30)May 30, 2024 · Control person left · inference
- Earl Wade Sanders (Vice President) no longer on Schedule A of Concorde Financial Resources (listed 2024-03-28, absent 2024-05-30)May 30, 2024 · Control person left · inference
- Concorde Financial Resources, Llc filed its initial SEC registration (Form ADV)Mar 30, 2018 · First SEC registration · fact
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
- CONCORDEFINANCIALRESOURCES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-838-4100reportedpublic record, Form ADV, Jul 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026