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
T•••• F•••••••• A•••••••• I•••
Latest filing Dec 1, 2023
First filing on the tape Nov 19, 2014 · 27 filings
RAUM
$863M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$854M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$863M as of Mar 16, 2023
Jan 22, 2015$414M then
HNW client RAUM$684M as of Mar 16, 2023
Mar 29, 2018$478M then
State-registered IARs (5.B.3)9 as of Mar 16, 2023
Jan 22, 20157 then
Employees (5.A)19 as of Mar 16, 2023
Jan 22, 201512 then
Private funds: no history
RAUM -11% over the last fiscal year+6.2% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Dec 1, 2023; every figure names its basis
- RAUM per advisor
- $95.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $349,446derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $692M, 684 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$684M79%
- Individuals$171M20%
- Corporations and businesses$8.6M1.0%
- Charitable organizations$278,2020.0%
- Individual clients
- 455reported
- HNW clients
- 321reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 2,470reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $692M for 684 clientsreported
- 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
- P•••••• N••• R••• to O•••••••••Dec 13, 2023 · Other
- J•••• P•••••• B•••• to O•••••••••Dec 11, 2023 · Other
- J••• W•••••• M••••• to O•••••••••Dec 11, 2023 · Other
- K•••••• R••• L•••••• to O•••••••••Dec 11, 2023 · Other
- B•••••• P•••••• R•••••• to O•••••••••Dec 11, 2023 · Other
- D•••••• C•••••• A•••••• to O•••••••••Dec 11, 2023 · Other
- N•••••••• P•••••• C••••••• to F••••••••• C••••••Dec 1, 2023 · RIA to RIA
- J••••• J•••• M•• to O•• P••• F••••••Aug 29, 2023 · RIA to RIA
- A••••• E•••••••• C••••••• to S•••••• F•••••••• G••••• L•••••Jun 30, 2023 · RIA to RIA
- J••••••• R• M••••••• to B••••• P••••• A•••••••• L••Apr 6, 2023 · RIA to RIA
- M••••• S•••• to F•••••••• L••• F••••• L••Aug 3, 2021 · RIA to RIA
- F••••• D••••• C•••••• to V•••••• P••••• P•••••••Jan 16, 2020 · Other
- L••••• J••••••••• B•••• to C••••••• P•••••••Jun 7, 2019 · RIA to RIA
- A•••• H•••••• P•••••• to L•••• W••••• M••••••••• L••Mar 5, 2019 · RIA to RIA
- L••••••• J•••••• to O•••• W•••••• I•••May 9, 2013 · Other
Joined, latest
- J•••• P•••••• B•••• from E••••• J••••Mar 18, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••• W•••••• M••••• from B•• A•••• M••••••••• C••••Oct 4, 2019 · Other
- N•••••••• P•••••• C••••••• from M••••• W••••• M••••••••• L••Sep 10, 2018 · RIA to RIA
- M••••• S•••• from M••••• W••••• M••••••••• L••Jan 2, 2018 · Other
- A•••• H•••••• P•••••• from R••••• I••••••••• A•••••••• I••Aug 7, 2012 · Other
- P•••••• N••• R••• from R••••• I••••••••• A•••••••• I••Aug 7, 2012 · Other
- B•••••• P•••••• R•••••• from E•••••••• A•••••••• L••Jun 4, 2010 · Other
- Y•••••• C••• from S••••••• I••••••••• S•••••••• I•••Oct 15, 2008 · Other
- L••••••• J•••••• from P•••••••• S••••••••• I•••Jul 18, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for O•••••••••Dec 11, 2023 · Greensboro, Nc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• P••••••• N••• · Chief Executive Officer, Chief Compliance Officercontrolsince 05/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,277 to 2,470Apr 25, 2022 to Mar 16, 2023
- Corporate clients · 2 to 1Apr 25, 2022 to Mar 16, 2023
- HNW clients · 329 to 321Apr 25, 2022 to Mar 16, 2023
- Individual clients · 414 to 455Apr 25, 2022 to Mar 16, 2023
- Assets in custody · $678M to $692MApr 25, 2022 to Mar 16, 2023
- Employees · 20 to 19Apr 25, 2022 to Mar 16, 2023
- Discretionary RAUM · $942M to $843MApr 25, 2022 to Mar 16, 2023
- HNW RAUM · $795M to $684MApr 25, 2022 to Mar 16, 2023
- Individual RAUM · $158M to $171MApr 25, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $22.3M to $20.6MApr 25, 2022 to Mar 16, 2023
- RAUM · $964M to $863MApr 25, 2022 to Mar 16, 2023
- Accounts · 2,114 to 2,277Mar 18, 2021 to Mar 22, 2022
- Advisory employees · 10 to 11Mar 18, 2021 to Mar 22, 2022
- Charity clients · 3 to 1Mar 18, 2021 to Mar 22, 2022
- HNW clients · 289 to 329Mar 18, 2021 to Mar 22, 2022
- Individual clients · 407 to 414Mar 18, 2021 to Mar 22, 2022
- Assets in custody · $658M to $678MMar 18, 2021 to Mar 22, 2022
- Employees · 17 to 20Mar 18, 2021 to Mar 22, 2022
- Financial planning clients · 0 to 1-10Mar 18, 2021 to Mar 22, 2022
- State-registered IARs · 8 to 9Mar 18, 2021 to Mar 22, 2022
- Discretionary RAUM · $782M to $942MMar 18, 2021 to Mar 22, 2022
- HNW RAUM · $636M to $795MMar 18, 2021 to Mar 22, 2022
- Individual RAUM · $155M to $158MMar 18, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $19.9M to $22.3MMar 18, 2021 to Mar 22, 2022
- RAUM · $802M to $964MMar 18, 2021 to Mar 22, 2022
- Accounts · 2,064 to 2,114Sep 21, 2020 to Mar 18, 2021
- Advisory employees · 9 to 10Sep 21, 2020 to Mar 18, 2021
- Corporate clients · unset to 2.0Sep 21, 2020 to Mar 18, 2021
- HNW clients · 282 to 289Sep 21, 2020 to Mar 18, 2021
- Individual clients · 399 to 407Sep 21, 2020 to Mar 18, 2021
- Assets in custody · $548M to $658MSep 21, 2020 to Mar 18, 2021
- Employees · 14 to 17Sep 21, 2020 to Mar 18, 2021
- State-registered IARs · 7 to 8Sep 21, 2020 to Mar 18, 2021
- Discretionary RAUM · $698M to $782MSep 21, 2020 to Mar 18, 2021
- HNW RAUM · $574M to $636MSep 21, 2020 to Mar 18, 2021
- Individual RAUM · $146M to $155MSep 21, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $22.0M to $19.9MSep 21, 2020 to Mar 18, 2021
- RAUM · $720M to $802MSep 21, 2020 to Mar 18, 2021
- Accounts · 2,018 to 2,064Jul 30, 2019 to Feb 25, 2020
- Advisory employees · 13 to 9Jul 30, 2019 to Feb 25, 2020
Signals
16 dated events
- P•••••• N••• R••• left T•••• F•••••••• A•••••••• I••• for O••••••••• (registered 2023-09-07)Dec 13, 2023 · a•••••• firm change · fact
- B•••••• P•••••• R•••••• left T•••• F•••••••• A•••••••• I••• for O••••••••• (registered 2024-02-07)Dec 11, 2023 · a•••••• firm change · fact
- J•••• P•••••• B•••• left T•••• F•••••••• A•••••••• I••• for O••••••••• (registered 2023-12-11)Dec 11, 2023 · a•••••• firm change · fact
- K•••••• R••• L•••••• left T•••• F•••••••• A•••••••• I••• for O••••••••• (registered 2023-12-11)Dec 11, 2023 · a•••••• firm change · fact
- J••• W•••••• M••••• left T•••• F•••••••• A•••••••• I••• for O••••••••• (registered 2023-12-11)Dec 11, 2023 · a•••••• firm change · fact
- D•••••• C•••••• A•••••• left T•••• F•••••••• A•••••••• I••• for O••••••••• (registered 2023-09-21)Dec 11, 2023 · a•••••• firm change · fact
- T•••• F•••••••• A•••••••• I•••'s advisors moved to O••••••••• (Greensboro, NC): 6 of 6 registered, within 2 daysDec 11, 2023 · Firm absorbed (people side) · derived
- N•••••••• P•••••• C••••••• left T•••• F•••••••• A•••••••• I••• for F••••••••• C•••••• (registered 2023-12-01)Dec 1, 2023 · a•••••• firm change · fact
- P•••••• Nathaniel Carswell (Chief Operating Officer, Chief Compliance Officer) no longer on Schedule A of T•••• F•••••••• A•••••••• I••• (listed 2023-03-16, absent 2023-12-01)Dec 1, 2023 · Control person left · inference
- J••••• J•••• M•• left T•••• F•••••••• A•••••••• I••• for O•• P••• F•••••• (registered 2023-08-28)Aug 29, 2023 · a•••••• firm change · fact
- A••••• E•••••••• C••••••• left T•••• F•••••••• A•••••••• I••• for S•••••• F•••••••• G••••• L••••• (registered 2023-06-13)Jun 30, 2023 · a•••••• firm change · fact
- J••••••• R• M••••••• left T•••• F•••••••• A•••••••• I••• for B••••• P••••• A•••••••• L•• (registered 2023-04-10)Apr 6, 2023 · a•••••• firm change · fact
- P•••••• Nathaniel Carswell (Chief Operating Officer, Chief Compliance Officer) appeared on Schedule A of T•••• F•••••••• A•••••••• I•••Feb 25, 2020 · Control person joined · fact
- Patrick Joseph Carroll (Chief Investment Officer) no longer on Schedule A of T•••• F•••••••• A•••••••• I••• (listed 2019-05-31, absent 2019-07-30)Jul 30, 2019 · Control person left · inference
- Patrick Joseph Carroll (Chief Investment Officer) appeared on Schedule A of T•••• F•••••••• A•••••••• I•••Mar 14, 2019 · Control person joined · fact
- T•••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Nov 19, 2014 · 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.
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