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

S••••• F•••••••• G••••• I•••

Former SEC-registered adviserAsheville, North CarolinaCRD 118696SEC 801-68146IAPD
Latest filing Dec 24, 2014
First filing on the tape Mar 16, 2012 · 4 filings
RAUM
$131M
reported, Item 5.F
Discretionary
74%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$131M as of Feb 26, 2014
Mar 16, 2012$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 26, 2014
Mar 16, 20120 then
Employees (5.A)4 as of Feb 26, 2014
Feb 15, 20133 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Dec 24, 2014; every figure names its basis
RAUM per advisor
$43.6MderivedRAUM 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
$157,623derivedRAUM over accounts (5.F.2.f)
Discretionary
74%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
830reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• D•••• G•••••••• · President/Chief Compliance Officercontrol
        since 01/2000 · 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 · 777 to 830
        Feb 15, 2013 to Feb 26, 2014
      • Employees · 3 to 4
        Feb 15, 2013 to Feb 26, 2014
      • Discretionary RAUM · $97.4M to $97.0M
        Feb 15, 2013 to Feb 26, 2014
      • Non-discretionary RAUM · $14.5M to $33.8M
        Feb 15, 2013 to Feb 26, 2014
      • RAUM · $112M to $131M
        Feb 15, 2013 to Feb 26, 2014
      • Accounts · 766 to 777
        Mar 16, 2012 to Feb 15, 2013
      • Advisory employees · unset to 3.0
        Mar 16, 2012 to Feb 15, 2013
      • BD registered reps · unset to 3.0
        Mar 16, 2012 to Feb 15, 2013
      • Employees · unset to 3.0
        Mar 16, 2012 to Feb 15, 2013
      • State-registered IARs · 0 to 3
        Mar 16, 2012 to Feb 15, 2013
      • Discretionary RAUM · $84.4M to $97.4M
        Mar 16, 2012 to Feb 15, 2013
      • Non-discretionary RAUM · $17.6M to $14.5M
        Mar 16, 2012 to Feb 15, 2013
      • RAUM · $102M to $112M
        Mar 16, 2012 to Feb 15, 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