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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SEC-registered adviser
M••••••• F•••••••• P••••••• S•••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 5, 2012 · 26 filings
SEC status approved since Dec 17, 2018
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$209M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$75.2M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$226M as of Mar 24, 2026
Mar 5, 2012$54.0M then
HNW client RAUM$160M as of Mar 24, 2026
Feb 6, 2019$62.3M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 5, 20120 then
Employees (5.A)4 as of Mar 24, 2026
Feb 6, 20194 then
Private funds1 as of Mar 24, 2026
Jan 22, 20201 then
RAUM +18% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $811,735derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10.0%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M71%
- Individuals$49.1M22%
- Pooled investment vehicles$16.3M7.2%
- Individual clients
- 188reported
- HNW clients
- 88reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 278reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.07 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• T••••• B•••••Certified Financial Planner | Seneca, Sc | Mar 9, 2009 | 29 y | 0 |
| L••••• E• M••••• | Seneca, Sc | May 21, 2009 | 30 y | 0 |
| J•••• S••••• W••••Certified Financial Planner | Seneca, Sc | Mar 7, 2014 | 21 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• S••••• W•••• from C••••• I••••••••• A••••••• L••Mar 7, 2014 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••••• I••••• S•••••••• F••• L• | Hedge Fund | $8.8M | 3 | Mar 15, 2024 |
| V•••••• I••••• S•••••••• F•••no longer reported | Hedge Fund | $0 | 0 | Jan 22, 2020 |
| V•••••• B•••••• F•••no longer reported | Hedge Fund | $0 | 0 | Mar 19, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• R••••• T••••• · President, Chief Compliance Officercontrolsince 11/1998 · owns 50% to 75%
- W••••• J••••• S••••• · Vice-Presidentcontrolsince 02/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••• W•••• • S••••••• C•• P•insurancen
- V•••••• C•••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seneca, Sc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 252 to 278Mar 28, 2025 to Mar 24, 2026
- HNW clients · 80 to 88Mar 28, 2025 to Mar 24, 2026
- Individual clients · 171 to 188Mar 28, 2025 to Mar 24, 2026
- Pooled vehicle clients · 1 to 2Mar 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $192M to $226MMar 28, 2025 to Mar 24, 2026
- HNW RAUM · $140M to $160MMar 28, 2025 to Mar 24, 2026
- Individual RAUM · $42.9M to $49.1MMar 28, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $9.0M to $16.3MMar 28, 2025 to Mar 24, 2026
- RAUM · $192M to $226MMar 28, 2025 to Mar 24, 2026
- Accounts · 257 to 252Jul 8, 2024 to Mar 28, 2025
- HNW clients · 79 to 80Jul 8, 2024 to Mar 28, 2025
- Individual clients · 177 to 171Jul 8, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Jul 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $174M to $192MJul 8, 2024 to Mar 28, 2025
- HNW RAUM · $126M to $140MJul 8, 2024 to Mar 28, 2025
- Individual RAUM · $39.6M to $42.9MJul 8, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $8.8M to $9.0MJul 8, 2024 to Mar 28, 2025
- RAUM · $174M to $192MJul 8, 2024 to Mar 28, 2025
- Accounts · 742 to 257Mar 29, 2023 to Mar 15, 2024
- HNW clients · 74 to 79Mar 29, 2023 to Mar 15, 2024
- Individual clients · 164 to 177Mar 29, 2023 to Mar 15, 2024
- Pooled vehicle clients · 0 to 1Mar 29, 2023 to Mar 15, 2024
- Financial planning clients · 101-250 to 251-500Mar 29, 2023 to Mar 15, 2024
- Discretionary RAUM · $152M to $174MMar 29, 2023 to Mar 15, 2024
- HNW RAUM · $118M to $126MMar 29, 2023 to Mar 15, 2024
- Individual RAUM · $34.1M to $39.6MMar 29, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $0 to $8.8MMar 29, 2023 to Mar 15, 2024
- RAUM · $152M to $174MMar 29, 2023 to Mar 15, 2024
- Accounts · 676 to 742Feb 15, 2022 to Mar 29, 2023
- HNW clients · 64 to 74Feb 15, 2022 to Mar 29, 2023
- Individual clients · 171 to 164Feb 15, 2022 to Mar 29, 2023
- Private funds · 2 to 1Feb 15, 2022 to Mar 29, 2023
- Discretionary RAUM · $139M to $152MFeb 15, 2022 to Mar 29, 2023
- HNW RAUM · $91.9M to $118MFeb 15, 2022 to Mar 29, 2023
- Individual RAUM · $46.9M to $34.1MFeb 15, 2022 to Mar 29, 2023
- RAUM · $139M to $152MFeb 15, 2022 to Mar 29, 2023
- Accounts · 223 to 676Mar 19, 2021 to Feb 15, 2022
- Individual clients · 159 to 171Mar 19, 2021 to Feb 15, 2022
- Discretionary RAUM · $139M to $139MMar 19, 2021 to Feb 15, 2022
- HNW RAUM · $107M to $91.9MMar 19, 2021 to Feb 15, 2022
Signals
1 dated events
- M••••••• F•••••••• P••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Nov 16, 2018 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 864-886-9766reportedpublic record, Form ADV, Mar 24, 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
- $75.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026