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

F••••• C••••••

Former SEC-registered adviserConcord, North CarolinaCRD 130073SEC 801-107970IAPD
Legal name F••••• C•••••• C••••
Latest filing Feb 13, 2020
First filing on the tape Jun 7, 2016 · 7 filings
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$193M as of Feb 13, 2020
Mar 23, 2017$132M then
HNW client RAUM$153M as of Feb 13, 2020
Mar 15, 2019$148M then
State-registered IARs (5.B.3)2 as of Feb 13, 2020
Mar 23, 20173 then
Employees (5.A)4 as of Feb 13, 2020
Mar 23, 20173 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Feb 13, 2020; every figure names its basis
RAUM per advisor
$96.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
104derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$931,957derivedHNW RAUM over HNW clients
Average account
$468,559derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-46%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$153M79%
  • Individuals$39.7M21%
Individual clients
44reported
HNW clients
164reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
411reported
Financial planning clients
0reported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• J•••••• B•••••• · Chief Compliance Officer/Owner/Ceo/Presidentcontrol
      since 12/2003 · owns 75% or more
    • M••••••• C••••• D•••• · Member
      since 01/2013 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Charlotte, NC1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 204 to 411
      Mar 15, 2019 to Feb 13, 2020
    • Advisory employees · 3 to 2
      Mar 15, 2019 to Feb 13, 2020
    • HNW clients · 334 to 164
      Mar 15, 2019 to Feb 13, 2020
    • Individual clients · 50 to 44
      Mar 15, 2019 to Feb 13, 2020
    • Employees · 3 to 4
      Mar 15, 2019 to Feb 13, 2020
    • Financial planning clients · unset to 0
      Mar 15, 2019 to Feb 13, 2020
    • State-registered IARs · 3 to 2
      Mar 15, 2019 to Feb 13, 2020
    • Discretionary RAUM · $150M to $193M
      Mar 15, 2019 to Feb 13, 2020
    • HNW RAUM · $148M to $153M
      Mar 15, 2019 to Feb 13, 2020
    • Individual RAUM · $22.1M to $39.7M
      Mar 15, 2019 to Feb 13, 2020
    • Non-discretionary RAUM · $19.2M to $0
      Mar 15, 2019 to Feb 13, 2020
    • RAUM · $170M to $193M
      Mar 15, 2019 to Feb 13, 2020
    • Accounts · 207 to 204
      Mar 26, 2018 to Mar 15, 2019
    • Charity clients · unset to 0.0
      Mar 26, 2018 to Mar 15, 2019
    • Corporate clients · unset to 0.0
      Mar 26, 2018 to Mar 15, 2019
    • HNW clients · unset to 334.0
      Mar 26, 2018 to Mar 15, 2019
    • Individual clients · 445 to 50
      Mar 26, 2018 to Mar 15, 2019
    • Pension plan clients · unset to 0.0
      Mar 26, 2018 to Mar 15, 2019
    • Pooled vehicle clients · unset to 0.0
      Mar 26, 2018 to Mar 15, 2019
    • Employees · 4 to 3
      Mar 26, 2018 to Mar 15, 2019
    • Financial planning clients · 0 to unset
      Mar 26, 2018 to Mar 15, 2019
    • Discretionary RAUM · $135M to $150M
      Mar 26, 2018 to Mar 15, 2019
    • HNW RAUM · unset to 147586235.0
      Mar 26, 2018 to Mar 15, 2019
    • Individual RAUM · $147M to $22.1M
      Mar 26, 2018 to Mar 15, 2019
    • Non-discretionary RAUM · $11.9M to $19.2M
      Mar 26, 2018 to Mar 15, 2019
    • Pension RAUM · unset to 0.0
      Mar 26, 2018 to Mar 15, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Mar 26, 2018 to Mar 15, 2019
    • RAUM · $147M to $170M
      Mar 26, 2018 to Mar 15, 2019
    • Accounts · 166 to 207
      Aug 9, 2017 to Mar 26, 2018
    • Advisory employees · 2 to 3
      Aug 9, 2017 to Mar 26, 2018
    • Individual clients · unset to 445.0
      Aug 9, 2017 to Mar 26, 2018
    • Employees · 3 to 4
      Aug 9, 2017 to Mar 26, 2018
    • Other offices · unset to 1.0
      Aug 9, 2017 to Mar 26, 2018
    • Discretionary RAUM · $117M to $135M
      Aug 9, 2017 to Mar 26, 2018
    • Individual RAUM · unset to 147014994.0
      Aug 9, 2017 to Mar 26, 2018
    • Non-discretionary RAUM · $14.4M to $11.9M
      Aug 9, 2017 to Mar 26, 2018
    • RAUM · $132M to $147M
      Aug 9, 2017 to Mar 26, 2018
    • HQ city · CHARLOTTE to CONCORD
      Mar 23, 2017 to Aug 9, 2017
    • Accounts · 104 to 166
      Jun 28, 2016 to Mar 23, 2017
    • Advisory employees · 3 to 2
      Jun 28, 2016 to Mar 23, 2017
    Signals
    1 dated events
    • F••••• C•••••• filed its initial SEC registration (Form ADV)
      Jun 7, 2016 · 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