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
Modern Capital Advisors, LLC
Latest filing Apr 2, 2026
First filing on the tape Jan 3, 2012 · 57 filings
SEC status approved since Jul 26, 2011
RAUM
$255M
reported, Item 5.F
Discretionary
5.9%
of RAUM
Private clients
100%
$255M individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$14.2M
derived; firm RAUM over IAPD count
Employees
19
18 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$255M as of Apr 2, 2026
Mar 14, 2013$56.1M then
HNW client RAUM$15.1M as of Apr 2, 2026
Mar 29, 2018$13.5M then
State-registered IARs (5.B.3)18 as of Apr 2, 2026
Mar 14, 201322 then
Employees (5.A)19 as of Apr 2, 2026
Mar 14, 201322 then
Private funds: no history
RAUM n/a over the last fiscal year+14% a year over three
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $14.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $458,839derivedHNW RAUM over HNW clients
- Average account
- $208,694derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.9%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Individuals$240M94%
- High-net-worth individuals$15.1M5.9%
- Individual clients
- 1,188reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,221reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dhrumil Anilkumar Parikh | Raleigh, Nc | May 10, 2016 | 15 y | 1 |
| Yupeng FuCertified Financial Planner, Chartered Financial Consultant | Raleigh, Nc | Oct 4, 2016 | 12 y | 1 |
| John Esrom AndersonChartered Financial Consultant | Senoia, Ga | Jan 13, 2022 | 37 y | 6 |
| Ronald Lee NalvenCertified Financial Planner | Melbourne Beach, Fl | Jan 14, 2022 | 35 y | 3 |
| John Walter Yoash | Raleigh, Nc | Jan 20, 2022 | 31 y | 7 |
| Daniel James Shanahan | Raleigh, Nc | Jan 21, 2022 | 26 y | 4 |
| Thomas Lynn Mcguire | Hattiesburg, Ms | Jan 21, 2022 | 25 y | 2 |
| Matthew Ryan Eppich | Westlake, Oh | Jan 21, 2022 | 11 y | 3 |
| Michael Leonard Gorman | Raleigh, Nc | Jan 21, 2022 | 29 y | 3 |
| Matthew John Drummond | Raleigh, Nc | Jan 21, 2022 | 25 y | 5 |
| Nicholas Tilden Drew | Tomball, Tx | Jan 21, 2022 | 30 y | 2 |
| Kyle J Van Oort | Raleigh, Nc | Feb 1, 2022 | 31 y | 4 |
| David Harold Turlington | Chapel Hill, Nc | Sep 17, 2024 | 10 y | 1 |
| Geoffrey G Mclawhorn | Raleigh, Nc | Sep 17, 2024 | 15 y | 2 |
| Adam David Seidman | Raleigh, Nc | Sep 17, 2024 | 16 y | 1 |
| Thomas Anthony Smith | Raleigh, Nc | Feb 6, 2025 | 35 y | 2 |
| Ronie (None) DroriCertified Financial Planner | Rocklin, Ca | Feb 13, 2025 | 29 y | 1 |
| Matthew Allen Holman | San Diego, Ca | Nov 3, 2025 | 29 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount11 left over 36 months
Left, latest
- Jose Antonio Quinones Porrata to Calton & Associates, Inc.Aug 27, 2025 · RIA to RIA
- Ryan Knebel to Efficient AdvisorsJan 8, 2025 · RIA to RIA
- Bradley Dale Atkins to Modern Capital Management, Co.Dec 31, 2024 · Other
- Benjamin Michael Reynoso to Fcg Wealth Management LLCMar 21, 2024 · RIA to a state-registered adviser
- Bryan Alan Duckett to Duckett Wealth ManagementMar 21, 2024 · RIA to a state-registered adviser
- Peter Anthony Montalbano to Modern Capital Management, Co.Dec 5, 2023 · Other
- Michael Scott Lowenberg to Modern Capital Management, Co.Dec 5, 2023 · Other
- Kristof Wild to Modern Capital Management, Co.Dec 5, 2023 · Other
- Mark Axmacher to Modern Capital Management, Co.Dec 4, 2023 · Other
- Michael A Greer to Rise Wealth Partners LLCOct 12, 2023 · RIA to a state-registered adviser
- Ryan James Millman to Modern Capital Management, Co.Sep 21, 2023 · Other
- Roman Inochovsky to Hornor, Townsend & Kent, LLCMay 22, 2023 · RIA to affiliated broker-dealer or bank
- Thomas G. Gervase to Pruco Securities, LLCOct 17, 2022 · RIA to affiliated broker-dealer or bank
- Brian William Neustrom to Powerhouse Financial Advisors, Inc.Oct 7, 2022 · RIA to RIA
- Daniel Maurino to Modern Capital Management, Co.Oct 7, 2022 · Other
Joined, latest
- Geoffrey G Mclawhorn from MML Investors Services, LLCSep 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- David Harold Turlington from MML Investors Services, LLCSep 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- Adam David Seidman from MML Investors Services, LLCSep 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- Mark Axmacher from Apollon Wealth Management, LLCSep 22, 2022 · RIA to RIA
- Roman Inochovsky from Innovation Partners LLCJun 29, 2022 · Affiliated broker-dealer or bank to independent RIA
- Zachary Daniel Stewart from Fidelity Personal And Workplace AdvisorsJun 23, 2022 · Affiliated broker-dealer or bank to independent RIA
- Brian William Neustrom from Parsonex Advisory Services, Inc.Feb 1, 2022 · RIA to RIA
- Michael Scott Lowenberg from Modern Capital Management, Co.Jan 13, 2022 · Other
- Peter Anthony Montalbano from Modern Capital Management, Co.Jan 12, 2022 · Other
- Ryan James Millman from Belpointe Asset Management LLCJan 11, 2022 · RIA to RIA
- Kristof Wild from Modern Capital Management, Co.Jan 6, 2022 · Other
- Benjamin J Buehler from Securian Financial Services, Inc.Aug 31, 2021 · Affiliated broker-dealer or bank to independent RIA
- Jose Antonio Quinones Porrata from Cetera Advisor Networks LLCAug 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- Matthew John Drummond from Equitable Advisors, LLCJan 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- John Walter Yoash from Pruco Securities, LLCJul 29, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Modern Capital Management, Co.Dec 4, 2023 · Raleigh, Nc
- 3 left for Modern Capital Management, Co.Dec 31, 2021 · Raleigh, Nc
- 2 left for B. Riley Wealth Advisors, Inc.Feb 23, 2017 · Raleigh, Nc
- 3 joined from MML Investors Services, LLCAug 9, 2024 · New Bern, Nc
- 2 joined from Modern Capital Management, Co.Dec 31, 2021 · Mt Pleasant, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Carrigan · Ceocontrolsince 06/2023 · owns 25% to 50%
- Brook Ashley Chambers · Chief Marketing Officercontrolsince 06/2023 · owns 25% to 50%
- Joseph John Landsiedel · Ccocontrolsince 03/2023 · owns less than 5%
- Taleen Cassandra Woodward · Coocontrolsince 09/2004 · owns 25% to 50%
- James Daniel Shanahan · Presidentsince 12/2022 · owns less than 5%
Entity owners
- Topsail Acquisitions Holdings, LLC · Holding Companydirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Liberty Partners Financial Services, LLCbroker-dealern
- Modern Capital Securities Inc.broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 18 | 1 | 0 | ||
| Mechanicsville, Va | 0 | 0 | 0 | ||
| Visalia, Ca | 0 | 0 | 0 | ||
| Bay Harbor Islands, Fl | 0 | 0 | 0 | ||
| San Juan, Pr | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Palm Beach, FL3 employees
- Westlake, OH2 employees
- Houston, TX1 employees
- Tucson, AZ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Apr 2, 2026distinct affiliate types checked on Item 7.A of 5.0 against a peer median of 2.0 (324 comparable advisers, 100.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $100M to $500M (324) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,561 to 1,221Mar 29, 2024 to Apr 2, 2026
- Advisory employees · 24 to 18Mar 29, 2024 to Apr 2, 2026
- BD registered reps · 24 to 18Mar 29, 2024 to Apr 2, 2026
- Individual clients · 1,528 to 1,188Mar 29, 2024 to Apr 2, 2026
- Employees · 30 to 19Mar 29, 2024 to Apr 2, 2026
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Apr 2, 2026
- State-registered IARs · 24 to 18Mar 29, 2024 to Apr 2, 2026
- Discretionary RAUM · $274M to $15.1MMar 29, 2024 to Apr 2, 2026
- HNW RAUM · $68.5M to $15.1MMar 29, 2024 to Apr 2, 2026
- Individual RAUM · $217M to $240MMar 29, 2024 to Apr 2, 2026
- Non-discretionary RAUM · $11.7M to $240MMar 29, 2024 to Apr 2, 2026
- RAUM · $285M to $255MMar 29, 2024 to Apr 2, 2026
- Accounts · 1,281 to 1,561Oct 25, 2023 to Mar 29, 2024
- Advisory employees · 38 to 24Oct 25, 2023 to Mar 29, 2024
- BD registered reps · 35 to 24Oct 25, 2023 to Mar 29, 2024
- HNW clients · 28 to 33Oct 25, 2023 to Mar 29, 2024
- Individual clients · 1,253 to 1,528Oct 25, 2023 to Mar 29, 2024
- Employees · 42 to 30Oct 25, 2023 to Mar 29, 2024
- State-registered IARs · 38 to 24Oct 25, 2023 to Mar 29, 2024
- Other offices · 9 to 4Oct 25, 2023 to Mar 29, 2024
- Discretionary RAUM · $164M to $274MOct 25, 2023 to Mar 29, 2024
- HNW RAUM · $47.9M to $68.5MOct 25, 2023 to Mar 29, 2024
- Individual RAUM · $124M to $217MOct 25, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $7.3M to $11.7MOct 25, 2023 to Mar 29, 2024
- RAUM · $172M to $285MOct 25, 2023 to Mar 29, 2024
- Accounts · 1,129 to 1,281Mar 20, 2023 to Apr 10, 2023
- HNW clients · 12 to 28Mar 20, 2023 to Apr 10, 2023
- Individual clients · 1,226 to 1,253Mar 20, 2023 to Apr 10, 2023
- Employees · 41 to 42Mar 20, 2023 to Apr 10, 2023
- Other offices · 12 to 9Mar 20, 2023 to Apr 10, 2023
- Discretionary RAUM · $139M to $164MMar 20, 2023 to Apr 10, 2023
- HNW RAUM · $17.5M to $47.9MMar 20, 2023 to Apr 10, 2023
- Individual RAUM · $125M to $124MMar 20, 2023 to Apr 10, 2023
- Non-discretionary RAUM · $3.2M to $7.3MMar 20, 2023 to Apr 10, 2023
- RAUM · $142M to $172MMar 20, 2023 to Apr 10, 2023
- HQ city · MT PLEASANT to RALEIGHAug 19, 2022 to Dec 10, 2022
- HQ state · SC to NCAug 19, 2022 to Dec 10, 2022
- Accounts · 1,238 to 1,129Mar 21, 2022 to Mar 31, 2022
- Financial planning clients · 26-50 to 51-100Mar 21, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $1.7M to $3.2MJul 27, 2021 to Jan 5, 2022
Signals
32 dated events
- Jose Antonio Quinones Porrata left Modern Capital Advisors, Llc for Calton & Associates, Inc. (registered 2025-08-28)Aug 27, 2025 · Advisor changed firm · fact
- Ryan Knebel left Modern Capital Advisors, Llc for Efficient Advisors (registered 2025-01-21)Jan 8, 2025 · Advisor changed firm · fact
- Bradley Dale Atkins left Modern Capital Advisors, Llc for Modern Capital Management, Co. (registered 2022-01-25)Dec 31, 2024 · Advisor changed firm · fact
- 3 advisors left MML Investors Services, LLC (New Bern, NC) for Modern Capital Advisors, LLC on the same dayAug 9, 2024 · Team lift-out · derived
- Modern Capital Advisors, Llc reported 4 offices beyond its principal office, down from 9 (2023-10-25 to 2024-03-29)Mar 29, 2024 · Office count change · derived
- Modern Capital Advisors, Llc reported 24 state-registered advisory representatives, down from 38 (2023-10-25 to 2024-03-29)Mar 29, 2024 · Advisor headcount change · derived
- Modern Capital Advisors, Llc reported RAUM $285.4M, up 66% from $171.8M (2023-10-25 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Taleen Cassandra Woodward (Coo) appeared on Schedule A of Modern Capital Advisors, LlcMar 29, 2024 · Control person joined · fact
- Christopher Carrigan (Ceo) appeared on Schedule A of Modern Capital Advisors, LlcMar 29, 2024 · Control person joined · fact
- Brook Ashley Chambers (Chief Marketing Officer) appeared on Schedule A of Modern Capital Advisors, LlcMar 29, 2024 · Control person joined · fact
- Dale Bradley Atkins (Owner) no longer on Schedule A of Modern Capital Advisors, Llc (listed 2023-10-25, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Bryan Alan Duckett left Modern Capital Advisors, Llc for Duckett Wealth Management (registered 2022-12-19)Mar 21, 2024 · Advisor changed firm · fact
- Benjamin Michael Reynoso left Modern Capital Advisors, Llc for Fcg Wealth Management Llc (registered 2022-08-16)Mar 21, 2024 · Advisor changed firm · fact
- Peter Anthony Montalbano left Modern Capital Advisors, Llc for Modern Capital Management, Co. (registered 2022-01-12)Dec 5, 2023 · Advisor changed firm · fact
- Kristof Wild left Modern Capital Advisors, Llc for Modern Capital Management, Co. (registered 2022-01-25)Dec 5, 2023 · Advisor changed firm · fact
- Michael Scott Lowenberg left Modern Capital Advisors, Llc for Modern Capital Management, Co. (registered 2022-01-13)Dec 5, 2023 · Advisor changed firm · fact
- Mark Axmacher left Modern Capital Advisors, Llc for Modern Capital Management, Co. (registered 2026-01-01)Dec 4, 2023 · Advisor changed firm · fact
- 3 advisors left Modern Capital Advisors, LLC (Raleigh, NC) for Modern Capital Management, CO. a day apartDec 4, 2023 · Team lift-out · derived
- Michael A Greer left Modern Capital Advisors, Llc for Rise Wealth Partners Llc (registered 2023-10-12)Oct 12, 2023 · Advisor changed firm · fact
- Ryan James Millman left Modern Capital Advisors, Llc for Modern Capital Management, Co. (registered 2023-11-07)Sep 21, 2023 · Advisor changed firm · fact
- Roman Inochovsky left Modern Capital Advisors, Llc for Hornor, Townsend & Kent, Llc (registered 2023-05-03)May 22, 2023 · Advisor changed firm · fact
- John Landsiedel (Cco) appeared on Schedule A of Modern Capital Advisors, LlcApr 10, 2023 · Control person joined · fact
- Thomas G. Gervase left Modern Capital Advisors, Llc for Pruco Securities, Llc (registered 2022-10-24)Oct 17, 2022 · Advisor changed firm · fact
- Daniel Maurino left Modern Capital Advisors, Llc for Modern Capital Management, Co. (registered 2021-09-02)Oct 7, 2022 · Advisor changed firm · fact
- Zachary Daniel Stewart left Modern Capital Advisors, Llc for Parsonex Advisory Services, Inc. (registered 2026-03-04)Jul 20, 2022 · Advisor changed firm · fact
- Voyce Lee Thomas left Modern Capital Advisors, Llc for Cambridge Investment Research Advisors, Inc. (registered 2022-06-23)Jun 22, 2022 · Advisor changed firm · fact
- Michelle Lee Lawson left Modern Capital Advisors, Llc for Raymond James & Associates, Inc. (registered 2024-10-14)Mar 28, 2022 · Advisor changed firm · fact
- Benjamin J Buehler left Modern Capital Advisors, Llc for Ascensus Investment Advisors, Llc (registered 2022-03-01)Jan 25, 2022 · Advisor changed firm · fact
- Thomas John Pineman (Cco) no longer on Schedule A of Modern Capital Advisors, Llc (listed 2021-02-09, absent 2021-03-02)Mar 2, 2021 · Control person left · inference
- Thomas John Pineman (Cco) appeared on Schedule A of Modern Capital Advisors, LlcJul 15, 2020 · Control person joined · fact
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 phone
- 843-892-0242reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- moderncap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-440-0442reportedpublic record, Form ADV, Apr 2, 2026
- Contact form
- moderncap.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $14.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026