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

L••••• F•••••••• S•••••••• I•••

Former SEC-registered adviserRock Hill, South CarolinaCRD 133826SEC 801-63822IAPD
Latest filing Mar 6, 2019
First filing on the tape Mar 16, 2012 · 13 filings
RAUM
$205M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$205M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 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$205M as of Mar 6, 2019
Mar 16, 2012$90.1M then
HNW client RAUM$152M as of Mar 6, 2019
Mar 2, 2018$146M then
State-registered IARs (5.B.3)3 as of Mar 6, 2019
Mar 16, 20120 then
Employees (5.A)7 as of Mar 6, 2019
Mar 22, 20134 then
Private funds: no history
RAUM -2.9% over the last fiscal year+9.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 2019; every figure names its basis
RAUM per advisor
$68.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$297,337derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$141M, 193 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$152M74%
  • Individuals$53.0M26%
Individual clients
127reported
HNW clients
88reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
691reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$141M for 193 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• M•••••• G••••• · Presidentcontrol
        since 06/1999 · owns 75% or more
      • Y••••• P••••••• M• · Chief Operating Officer/Chief Compliance Officercontrol
        since 04/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      • M••••• L•••••
        insurancey
      • M••••••• L• G•••••••••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 736 to 691
        Nov 14, 2018 to Mar 6, 2019
      • HNW clients · 78 to 88
        Nov 14, 2018 to Mar 6, 2019
      • Individual clients · 143 to 127
        Nov 14, 2018 to Mar 6, 2019
      • Assets in custody · $114M to $141M
        Nov 14, 2018 to Mar 6, 2019
      • Discretionary RAUM · $212M to $205M
        Nov 14, 2018 to Mar 6, 2019
      • HNW RAUM · $146M to $152M
        Nov 14, 2018 to Mar 6, 2019
      • Individual RAUM · $65.0M to $53.0M
        Nov 14, 2018 to Mar 6, 2019
      • RAUM · $212M to $205M
        Nov 14, 2018 to Mar 6, 2019
      • Accounts · 675 to 736
        Feb 15, 2017 to Mar 2, 2018
      • Charity clients · unset to 0.0
        Feb 15, 2017 to Mar 2, 2018
      • Corporate clients · unset to 0.0
        Feb 15, 2017 to Mar 2, 2018
      • HNW clients · unset to 78.0
        Feb 15, 2017 to Mar 2, 2018
      • Individual clients · unset to 143.0
        Feb 15, 2017 to Mar 2, 2018
      • Pension plan clients · unset to 0.0
        Feb 15, 2017 to Mar 2, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 15, 2017 to Mar 2, 2018
      • Assets in custody · unset to 113921094.0
        Feb 15, 2017 to Mar 2, 2018
      • Custody of client assets · false to true
        Feb 15, 2017 to Mar 2, 2018
      • Other offices · unset to 0.0
        Feb 15, 2017 to Mar 2, 2018
      • Discretionary RAUM · $178M to $212M
        Feb 15, 2017 to Mar 2, 2018
      • HNW RAUM · unset to 146498267.0
        Feb 15, 2017 to Mar 2, 2018
      • Individual RAUM · unset to 65027141.0
        Feb 15, 2017 to Mar 2, 2018
      • Pension RAUM · unset to 0.0
        Feb 15, 2017 to Mar 2, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 15, 2017 to Mar 2, 2018
      • RAUM · $178M to $212M
        Feb 15, 2017 to Mar 2, 2018
      • Accounts · 606 to 675
        Feb 24, 2016 to Feb 15, 2017
      • Advisory employees · 5 to 7
        Feb 24, 2016 to Feb 15, 2017
      • Employees · 6 to 7
        Feb 24, 2016 to Feb 15, 2017
      • Discretionary RAUM · $156M to $178M
        Feb 24, 2016 to Feb 15, 2017
      • RAUM · $156M to $178M
        Feb 24, 2016 to Feb 15, 2017
      • Accounts · 560 to 606
        Sep 3, 2015 to Feb 24, 2016
      • Advisory employees · 3 to 5
        Sep 3, 2015 to Feb 24, 2016
      • Employees · 4 to 6
        Sep 3, 2015 to Feb 24, 2016
      • Discretionary RAUM · $166M to $156M
        Sep 3, 2015 to Feb 24, 2016
      • RAUM · $166M to $156M
        Sep 3, 2015 to Feb 24, 2016
      • Accounts · 510 to 560
        Mar 27, 2014 to Jan 30, 2015
      • Discretionary RAUM · $154M to $166M
        Mar 27, 2014 to Jan 30, 2015
      • RAUM · $154M to $166M
        Mar 27, 2014 to Jan 30, 2015
      • Accounts · 463 to 510
        Mar 22, 2013 to Mar 27, 2014
      • Discretionary RAUM · $117M to $154M
        Mar 22, 2013 to Mar 27, 2014
      • RAUM · $117M to $154M
        Mar 22, 2013 to Mar 27, 2014
      Signals
      No event on the tape.
      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