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

C•••••• • C••••••

Former SEC-registered adviserYemassee, South CarolinaCRD 130644SEC 801-66704IAPD
Legal name C•••••• A•• C•••••• L••
Latest filing Nov 2, 2021
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$40.1M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
78%
$31.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$72.1M as of Mar 18, 2021
Mar 29, 2012$90.4M then
HNW client RAUM$60.6M as of Mar 18, 2021
Mar 29, 2018$121M then
State-registered IARs (5.B.3)1 as of Mar 18, 2021
Mar 29, 20120 then
Employees (5.A)2 as of Mar 18, 2021
Mar 27, 20134 then
Private funds: no history
RAUM -52% over the last fiscal year-34% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Nov 2, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$232,001derivedRAUM over accounts (5.F.2.f)
Discretionary
72%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%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
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$137,273, 2 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$28.0M70%
  • Pension and profit-sharing plans$7.8M19%
  • Individuals$3.3M8.3%
  • Pooled investment vehicles$956,5672.4%
Individual clients
11reported
HNW clients
13reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
173reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$137,273 for 2 clientsreported
Compensation
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• S•••••• M•••• · Member/Principal/Chief Compliance Officercontrol
    since 11/1996 · 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 · 179 to 173
    Mar 18, 2021 to Nov 2, 2021
  • Advisory employees · 1 to 0
    Mar 18, 2021 to Nov 2, 2021
  • HNW clients · 29 to 13
    Mar 18, 2021 to Nov 2, 2021
  • Individual clients · unset to 11.0
    Mar 18, 2021 to Nov 2, 2021
  • Pension plan clients · 5 to 6
    Mar 18, 2021 to Nov 2, 2021
  • Assets in custody · $11,214 to $137,273
    Mar 18, 2021 to Nov 2, 2021
  • Employees · 2 to 1
    Mar 18, 2021 to Nov 2, 2021
  • HQ city · unset to YEMASSEE
    Mar 18, 2021 to Nov 2, 2021
  • HQ state · unset to SC
    Mar 18, 2021 to Nov 2, 2021
  • State-registered IARs · 1 to 0
    Mar 18, 2021 to Nov 2, 2021
  • Discretionary RAUM · $38.8M to $29.1M
    Mar 18, 2021 to Nov 2, 2021
  • HNW RAUM · $60.6M to $28.0M
    Mar 18, 2021 to Nov 2, 2021
  • Individual RAUM · unset to 3345809.0
    Mar 18, 2021 to Nov 2, 2021
  • Non-discretionary RAUM · $33.2M to $11.1M
    Mar 18, 2021 to Nov 2, 2021
  • Pension RAUM · $10.7M to $7.8M
    Mar 18, 2021 to Nov 2, 2021
  • Pooled vehicle RAUM · $830,527 to $956,567
    Mar 18, 2021 to Nov 2, 2021
  • RAUM · $72.1M to $40.1M
    Mar 18, 2021 to Nov 2, 2021
  • Accounts · 237 to 179
    Jun 12, 2020 to Mar 18, 2021
  • HNW clients · 34 to 29
    Jun 12, 2020 to Mar 18, 2021
  • Pension plan clients · 6 to 5
    Jun 12, 2020 to Mar 18, 2021
  • Assets in custody · $961,243 to $11,214
    Jun 12, 2020 to Mar 18, 2021
  • Discretionary RAUM · $34.6M to $38.8M
    Jun 12, 2020 to Mar 18, 2021
  • HNW RAUM · $70.1M to $60.6M
    Jun 12, 2020 to Mar 18, 2021
  • Non-discretionary RAUM · $48.3M to $33.2M
    Jun 12, 2020 to Mar 18, 2021
  • Pension RAUM · $11.7M to $10.7M
    Jun 12, 2020 to Mar 18, 2021
  • Pooled vehicle RAUM · $961,243 to $830,527
    Jun 12, 2020 to Mar 18, 2021
  • RAUM · $82.9M to $72.1M
    Jun 12, 2020 to Mar 18, 2021
  • Related adviser · true to false
    Jun 12, 2020 to Mar 18, 2021
  • Accounts · 333 to 237
    Feb 26, 2019 to Mar 20, 2020
  • HNW clients · 39 to 34
    Feb 26, 2019 to Mar 20, 2020
  • Pension plan clients · 12 to 6
    Feb 26, 2019 to Mar 20, 2020
  • Assets in custody · $989,694 to $961,243
    Feb 26, 2019 to Mar 20, 2020
  • Employees · 4 to 2
    Feb 26, 2019 to Mar 20, 2020
  • Financial planning clients · 26-50 to 11-25
    Feb 26, 2019 to Mar 20, 2020
  • Discretionary RAUM · $53.2M to $34.6M
    Feb 26, 2019 to Mar 20, 2020
  • HNW RAUM · $119M to $70.1M
    Feb 26, 2019 to Mar 20, 2020
  • Non-discretionary RAUM · $84.8M to $48.3M
    Feb 26, 2019 to Mar 20, 2020
  • Pension RAUM · $13.4M to $11.7M
    Feb 26, 2019 to Mar 20, 2020
  • Pooled vehicle RAUM · $989,694 to $961,243
    Feb 26, 2019 to Mar 20, 2020
  • RAUM · $138M to $82.9M
    Feb 26, 2019 to Mar 20, 2020
Signals
1 dated events
  • C•••••• • C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    May 13, 2013 · Succession (Item 4) · 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