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
Dividend Assets Capital, LLC
Latest filing Sep 15, 2026
First filing on the tape Feb 24, 2012 · 44 filings
SEC status approved since Jan 2, 2004
RAUM
$541M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$468M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$90.1M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$541M as of Jul 31, 2026
Feb 24, 2012$791M then
HNW client RAUM$274M as of Jul 31, 2026
Mar 28, 2018$169M then
State-registered IARs (5.B.3)7 as of Jul 31, 2026
Mar 18, 20134 then
Employees (5.A)7 as of Jul 31, 2026
Mar 18, 201320 then
Private funds: no history
RAUM -13% over the last fiscal year+0.9% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $90.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $908,921derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $28.6M, 310 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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$274M51%
- Individuals$194M36%
- Corporations and businesses$45.6M8.4%
- Charitable organizations$14.1M2.6%
- Investment companies$11.9M2.2%
- Pension and profit-sharing plans$1.4M0.3%
- Individual clients
- 333reported
- HNW clients
- 49reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 595reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $115M managedreported
- Custody of client assets
- $28.6M for 310 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.02 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert John Dickson | Ridgeland, Sc | Jul 5, 2024 | 20 y | 0 |
| Emily Cales Harding | Ridgeland, Sc | Jan 1, 2025 | 13 y | 2 |
| Donald Joseph Hingtgen | Ridgeland, Sc | Feb 3, 2025 | 11 y | 0 |
| Joseph John Kilian | Ridgeland, Sc | Dec 22, 2025 | 10 y | 0 |
| William Donald FordCertified Financial Planner | Ridgeland, Sc | Jan 1, 2026 | 35 y | 0 |
| Marc David SaurbornChartered Financial Analyst | Ridgeland, Sc | Jan 1, 2026 | 29 y | 2 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- Alex Charles Meintel to Tidal Creek Capital AdvisorsSep 2, 2026 · RIA to RIA
- James Glenn Haley to Fenimore Asset Management, Inc.Dec 9, 2025 · RIA to RIA
- Michael Paul Kuehn to Verity Investment PartnersMar 28, 2019 · RIA to RIA
- Michael Wayne Nix to Verity Investment PartnersFeb 25, 2019 · RIA to RIA
- Edward Pinckney Taylor to Tidal Creek Capital AdvisorsSep 26, 2018 · RIA to RIA
- John Carroll Cheshire to Asio Capital LLCSep 6, 2018 · RIA to a newly registered adviser
- Eugene Francis Balerna to Oak Advisors, LLCSep 14, 2016 · Other
Joined, latest
- Marc David Saurborn from Private Advisor Group, LLCJan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Emily Cales Harding from Morgan StanleyJan 1, 2025 · Wirehouse to independent RIA
- Michael Paul Kuehn from Icon Advisers, Inc.Oct 2, 2017 · Other
- James Glenn Haley from Truist Advisory Services, Inc.Apr 7, 2017 · Other
- Eugene Francis Balerna from Alpha Investment Advisors, Inc.Mar 25, 2015 · Other
- Michael Wayne Nix from Greenwood Capital Associates, LLCFeb 20, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Robert Dickson · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- Donald William Ford · President & Director Of Institutional Asset Managementcontrolsince 08/2023 · owns less than 5%
- Glenn James Haley · Ceo & Director Of Client Private Groupcontrolsince 08/2023 · owns less than 5%
- Troy Charles Shaver · Chairman Emerituscontrolsince 08/2023 · owns less than 5%
- Carl John Swhear · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
Entity owners
- Dividend Assets Capital Holdings, Inc. Employee Stock Ownership Plan · Employee Stock Ownership Plandirect · owns 75% or more
- Greatbanc Trust Company · Trusteedirect · 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 |
|---|---|---|---|---|---|
| Ridgeland, Sc · principal | 6 | 3 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Jul 31, 2026 to Sep 10, 2026
- Succession · false to unsetJul 31, 2026 to Sep 10, 2026
- Accounts · 739 to 595Dec 5, 2025 to Mar 30, 2026
- Advisory employees · 5 to 3Dec 5, 2025 to Mar 30, 2026
- Advisory activities · 6 to 5Dec 5, 2025 to Mar 30, 2026
- Charity clients · 9 to 3Dec 5, 2025 to Mar 30, 2026
- HNW clients · 58 to 49Dec 5, 2025 to Mar 30, 2026
- Individual clients · 336 to 333Dec 5, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 2Dec 5, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 0Dec 5, 2025 to Mar 30, 2026
- Assets in custody · $161M to $28.6MDec 5, 2025 to Mar 30, 2026
- Employees · 8 to 7Dec 5, 2025 to Mar 30, 2026
- State-registered IARs · 8 to 7Dec 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $620M to $541MDec 5, 2025 to Mar 30, 2026
- HNW RAUM · $307M to $274MDec 5, 2025 to Mar 30, 2026
- Individual RAUM · $233M to $194MDec 5, 2025 to Mar 30, 2026
- Pension RAUM · $6.2M to $1.4MDec 5, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $13.2M to $0Dec 5, 2025 to Mar 30, 2026
- RAUM · $620M to $541MDec 5, 2025 to Mar 30, 2026
- Wrap assets (manager) · $97.1M to $115MDec 5, 2025 to Mar 30, 2026
- Advisory activities · 5 to 6Nov 7, 2025 to Dec 5, 2025
- Accounts · 745 to 739Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 17 to 13Mar 28, 2024 to Mar 28, 2025
- HNW clients · 23 to 58Mar 28, 2024 to Mar 28, 2025
- Individual clients · 352 to 336Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 33 to 7Mar 28, 2024 to Mar 28, 2025
- Employees · 9 to 8Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 0 to 8Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $566M to $620MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $193M to $307MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $282M to $233MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $337,022 to $0Mar 28, 2024 to Mar 28, 2025
- Pension RAUM · $26.4M to $6.2MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $11.7M to $13.2MMar 28, 2024 to Mar 28, 2025
- RAUM · $566M to $620MMar 28, 2024 to Mar 28, 2025
- Wrap assets (manager) · $64.2M to $97.1MMar 28, 2024 to Mar 28, 2025
- Accounts · 750 to 745Jan 23, 2024 to Mar 28, 2024
- Advisory employees · 6 to 5Jan 23, 2024 to Mar 28, 2024
- Charity clients · 10 to 9Jan 23, 2024 to Mar 28, 2024
Signals
10 dated events
- Alex Charles Meintel left Dividend Assets Capital, Llc for Tidal Creek Capital Advisors (registered 2026-09-02)Sep 2, 2026 · Advisor changed firm · fact
- James Glenn Haley left Dividend Assets Capital, Llc for Fenimore Asset Management, Inc. (registered 2026-01-16)Dec 9, 2025 · Advisor changed firm · fact
- John Robert Dickson (Chief Financial Officer) appeared on Schedule A of Dividend Assets Capital, LlcMar 28, 2024 · Control person joined · fact
- Eugene Troy Livingston (Financial Officer) no longer on Schedule A of Dividend Assets Capital, Llc (listed 2024-01-23, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Glenn James Haley (Ceo & Director Of Client Private Group) appeared on Schedule A of Dividend Assets Capital, LlcJan 23, 2024 · Control person joined · fact
- Donald William Ford (President & Director Of Institutional Asset Management) appeared on Schedule A of Dividend Assets Capital, LlcJan 23, 2024 · Control person joined · fact
- Carl John Swhear (Chief Compliance Officer) appeared on Schedule A of Dividend Assets Capital, LlcJul 1, 2020 · Control person joined · fact
- Eugene Troy Livingston (Chief Financial Officer) appeared on Schedule A of Dividend Assets Capital, LlcJul 1, 2020 · Control person joined · fact
- Jerome Anthony Ghoston (President / Chief Operating Officer /Chief Compliance Officer) no longer on Schedule A of Dividend Assets Capital, Llc (listed 2020-06-18, absent 2020-07-01)Jul 1, 2020 · Control person left · inference
- Dividend Assets Capital, Llc reported RAUM $941.5M, down 63% from $2.5B (2018-03-28 to 2018-06-28)Jun 28, 2018 · RAUM change · derived
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
- Business email
- info@dacapitalsc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 843-645-9700reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-348-4769reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/dividendassetscapitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DACAPITALSC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 843.645.9700reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- dacapitalsc.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- dacapitalsc.com/team-memberreportedpublished by the firm, firm site, Sep 15, 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
- $90.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026