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.
Former SEC-registered adviser
Family Asset Management, LLC
Latest filing Mar 27, 2024
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Apr 1, 2015
RAUM
$324M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
79%
$255M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$324M as of Mar 27, 2024
Mar 30, 2012$65.4M then
HNW client RAUM$219M as of Mar 27, 2024
Mar 22, 2018$91.5M then
State-registered IARs (5.B.3)3 as of Mar 27, 2024
Mar 30, 20120 then
Employees (5.A)6 as of Mar 27, 2024
Mar 29, 20164 then
Private funds: no history
RAUM +15% over the last fiscal year+4.7% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $693,251derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $83.5M, 71 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$219M68%
- Pension and profit-sharing plans$53.8M17%
- Individuals$35.9M11%
- Charitable organizations$14.6M4.5%
- Individual clients
- 115reported
- HNW clients
- 85reported
- Pension plan clients
- 11reported
- Charitable clients
- 5reported
- Accounts
- 467reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $83.5M for 71 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Andrew Thomas Barrett to Sequoia Financial Group, L.L.C.Mar 25, 2025 · RIA to RIA
- Kimberly Dawn Chism-Moore to Sequoia Financial Group, L.L.C.Mar 25, 2025 · RIA to RIA
- Daniel Terrill Russler to Sequoia Financial Group, L.L.C.Mar 25, 2025 · RIA to RIA
- John Briggs Huddleston to Telos Capital PartnersJun 20, 2024 · RIA to a state-registered adviser
- Granger Christian Osborne to Southeast Asset Advisors, LLCOct 24, 2019 · RIA to RIA
Joined, latest
- John Briggs Huddleston from (K) Street Advisors Ltd. Co.Mar 2, 2017 · Other
- Granger Christian Osborne from Solaris Capital, LLCJan 14, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Sequoia Financial Group, L.L.C.Mar 25, 2025 · Charleston, Sc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Andrew Barrett · Partner, Chief Operating Officercontrolsince 12/2009 · owns 25% to 50%
- Terrill Daniel Russler · Partner, Chief Investment Officercontrolsince 09/2003 · owns 50% to 75%
- Dawn Kimberly Chism-Moore · Partner, Chief Compliance Officer & Director Of Client Servicessince 01/2021 · owns 5% to 10%
- Harris Ashley Warnock · Partner, Director Of Family Communication And Strategysince 01/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Charleston, Sc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 200 to 467Sep 6, 2023 to Mar 27, 2024
- Advisory employees · 4 to 3Sep 6, 2023 to Mar 27, 2024
- Charity clients · 1 to 5Sep 6, 2023 to Mar 27, 2024
- HNW clients · 70 to 85Sep 6, 2023 to Mar 27, 2024
- Individual clients · 116 to 115Sep 6, 2023 to Mar 27, 2024
- Pension plan clients · 13 to 11Sep 6, 2023 to Mar 27, 2024
- Assets in custody · $38,498 to $83.5MSep 6, 2023 to Mar 27, 2024
- Custody of client assets · false to trueSep 6, 2023 to Mar 27, 2024
- Employees · 8 to 6Sep 6, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 3Sep 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $231M to $267MSep 6, 2023 to Mar 27, 2024
- HNW RAUM · $202M to $219MSep 6, 2023 to Mar 27, 2024
- Individual RAUM · $31.2M to $35.9MSep 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $50.5M to $56.3MSep 6, 2023 to Mar 27, 2024
- Pension RAUM · $48.2M to $53.8MSep 6, 2023 to Mar 27, 2024
- RAUM · $282M to $324MSep 6, 2023 to Mar 27, 2024
- Accounts · 175 to 200Apr 27, 2022 to Mar 30, 2023
- HNW clients · 97 to 70Apr 27, 2022 to Mar 30, 2023
- Individual clients · 63 to 116Apr 27, 2022 to Mar 30, 2023
- Pension plan clients · 14 to 13Apr 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $251M to $231MApr 27, 2022 to Mar 30, 2023
- HNW RAUM · $234M to $202MApr 27, 2022 to Mar 30, 2023
- Individual RAUM · $11.3M to $31.2MApr 27, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $56.5M to $50.5MApr 27, 2022 to Mar 30, 2023
- Pension RAUM · $58.4M to $48.2MApr 27, 2022 to Mar 30, 2023
- RAUM · $308M to $282MApr 27, 2022 to Mar 30, 2023
- Accounts · 173 to 175May 24, 2021 to Mar 30, 2022
- Advisory activities · 4 to 5May 24, 2021 to Mar 30, 2022
- Corporate clients · 8.0 to unsetMay 24, 2021 to Mar 30, 2022
- HNW clients · 63 to 97May 24, 2021 to Mar 30, 2022
- Individual clients · 85 to 63May 24, 2021 to Mar 30, 2022
- Pension plan clients · 16 to 14May 24, 2021 to Mar 30, 2022
- Assets in custody · $77.1M to $38,498May 24, 2021 to Mar 30, 2022
- Custody of client assets · true to falseMay 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $228M to $251MMay 24, 2021 to Mar 30, 2022
- HNW RAUM · $182M to $234MMay 24, 2021 to Mar 30, 2022
- Individual RAUM · $25.9M to $11.3MMay 24, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $54.4M to $56.5MMay 24, 2021 to Mar 30, 2022
- Pension RAUM · $53.0M to $58.4MMay 24, 2021 to Mar 30, 2022
- RAUM · $282M to $308MMay 24, 2021 to Mar 30, 2022
Signals
8 dated events
- Family Asset Management, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $323.7M)May 2, 2025 · Left the SEC roster · derived
- Kimberly Dawn Chism-Moore left Family Asset Management, Llc for Sequoia Financial Group, L.L.C. (registered 2024-11-26)Mar 25, 2025 · Advisor changed firm · fact
- Daniel Terrill Russler left Family Asset Management, Llc for Sequoia Financial Group, L.L.C. (registered 2024-09-16)Mar 25, 2025 · Advisor changed firm · fact
- Family Asset Management, LLC's advisors moved to Sequoia Financial Group, L.L.C. (Charleston, SC): 3 of 3 registered, on the same dayMar 25, 2025 · Firm absorbed (people side) · derived
- Andrew Thomas Barrett left Family Asset Management, Llc for Sequoia Financial Group, L.L.C. (registered 2024-09-16)Mar 25, 2025 · Advisor changed firm · fact
- John Briggs Huddleston left Family Asset Management, Llc for Telos Capital Partners (registered 2024-09-24)Jun 20, 2024 · Advisor changed firm · fact
- Christian Granger Osborne (Portfolio Manager) no longer on Schedule A of Family Asset Management, Llc (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Family Asset Management, Llc filed its initial SEC registration (Form ADV)Mar 21, 2015 · 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