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
Warren Capital Group
Legal name Warren Capital Management, Inc.
Latest filing Jun 11, 2026
First filing on the tape Nov 16, 2011 · 15 filings
SEC status approved since May 12, 2021
RAUM
$131M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
52%
$68.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$131M as of Jun 11, 2026
Mar 1, 2012$47.4M then
HNW client RAUM$51.0M as of Jun 11, 2026
Feb 25, 2022$62.1M then
State-registered IARs (5.B.3)3 as of Jun 11, 2026
Feb 25, 20224 then
Employees (5.A)3 as of Jun 11, 2026
Feb 25, 20224 then
Private funds4 as of Mar 31, 2023
Feb 25, 202210 then
RAUM +5.0% over the last fiscal year+16% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Jun 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $43.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $761,372derivedHNW RAUM over HNW clients
- Average account
- $306,049derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companiesreportedItem 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
- Investment companies$57.0M44%
- High-net-worth individuals$51.0M39%
- Individuals$17.1M13%
- Pension and profit-sharing plans$5.7M4.3%
- Corporations and businesses$242,9260.2%
- Individual clients
- 114reported
- HNW clients
- 67reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 428reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.52 fund_share=0.44 institutional_share=0.04 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 |
|---|---|---|---|---|
| Joseph Richard Warren | Washington, Dc | May 14, 2012 | 28 y | 2 |
| Parker Stelling Allen | Charleston, Sc | Feb 8, 2016 | 12 y | 0 |
| Hector Enrique Molini | Charleston, Sc | Aug 17, 2018 | 11 y | 0 |
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
- Joseph Richard Warren from Fsc Securities CorporationMay 14, 2012 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Viridi LLCno longer reported | Private Equity Fund | $9.0M | 9 | Feb 25, 2022 |
| Live Oak Endeavors LLC | Private Equity Fund | $7.8M | 40 | Feb 25, 2022 |
| Wcg Private Holdings Series I LLCno longer reported | Private Equity Fund | $4.4M | 4 | Feb 25, 2022 |
| Acetaria LLCno longer reported | Private Equity Fund | $4.0M | 12 | Feb 25, 2022 |
| Beta Aequitas LLCno longer reported | Private Equity Fund | $2.5M | 15 | Feb 25, 2022 |
| Wcg Private Holdings Series II LLC | Private Equity Fund | $2.4M | 8 | Feb 25, 2022 |
| Dulcis LLCno longer reported | Private Equity Fund | $1.5M | 6 | Feb 25, 2022 |
| Imperium Aequitas LLC | Private Equity Fund | $1.3M | 13 | Feb 25, 2022 |
| Lumen Aqua LLC | Private Equity Fund | $835,423 | 5 | Feb 25, 2022 |
| Praecisa Tenuras LLCno longer reported | Private Equity Fund | $829,500 | 7 | Feb 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Stelling Parker Allen · Ccocontrolsince 01/2022 · owns less than 5%
- Richard Joseph Warren · President; Ceocontrolsince 07/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charleston, Sc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jun 11, 2026wrap fee program participation (Item 5.I): yes on the filing of 2026-03-26, no on the filing of 2026-06-11peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 26, 2026private-client share of RAUM moved from 93.0% to 52.0% between the annual amendments of 2025-03-18 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 82.0% to 39.0% between the annual amendments of 2025-03-18 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Wrap assets (manager) · 0.0 to unsetMar 26, 2026 to Jun 11, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 26, 2026 to Jun 11, 2026
- Accounts · 337 to 428Mar 18, 2025 to Mar 26, 2026
- Advisory employees · 4 to 3Mar 18, 2025 to Mar 26, 2026
- Corporate clients · 21 to 2Mar 18, 2025 to Mar 26, 2026
- Individual clients · 97 to 114Mar 18, 2025 to Mar 26, 2026
- Pension plan clients · 0 to 4Mar 18, 2025 to Mar 26, 2026
- Pooled vehicle clients · 2 to 0Mar 18, 2025 to Mar 26, 2026
- Employees · 4 to 3Mar 18, 2025 to Mar 26, 2026
- State-registered IARs · 4 to 3Mar 18, 2025 to Mar 26, 2026
- Discretionary RAUM · $121M to $125MMar 18, 2025 to Mar 26, 2026
- HNW RAUM · $103M to $51.0MMar 18, 2025 to Mar 26, 2026
- Individual RAUM · $13.7M to $17.1MMar 18, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $4.0M to $5.7MMar 18, 2025 to Mar 26, 2026
- Pension RAUM · $0 to $5.7MMar 18, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $4.0M to $0Mar 18, 2025 to Mar 26, 2026
- RAUM · $125M to $131MMar 18, 2025 to Mar 26, 2026
- Accounts · 213 to 337Feb 16, 2024 to Mar 18, 2025
- Advisory activities · 2 to 3Feb 16, 2024 to Mar 18, 2025
- HNW clients · 71 to 67Feb 16, 2024 to Mar 18, 2025
- Individual clients · 119 to 97Feb 16, 2024 to Mar 18, 2025
- Pooled vehicle clients · 0 to 2Feb 16, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Feb 16, 2024 to Mar 18, 2025
- Discretionary RAUM · $87.9M to $121MFeb 16, 2024 to Mar 18, 2025
- HNW RAUM · $74.4M to $103MFeb 16, 2024 to Mar 18, 2025
- Individual RAUM · $9.3M to $13.7MFeb 16, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $2.8M to $4.0MFeb 16, 2024 to Mar 18, 2025
- Pension RAUM · $2.8M to $0Feb 16, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $0 to $4.0MFeb 16, 2024 to Mar 18, 2025
- RAUM · $90.7M to $125MFeb 16, 2024 to Mar 18, 2025
- Succession · true to falseFeb 16, 2024 to Mar 18, 2025
- Wrap assets (manager) · unset to 0.0Feb 16, 2024 to Mar 18, 2025
- Wrap assets (sponsor) · unset to 0.0Feb 16, 2024 to Mar 18, 2025
- Accounts · 410 to 213Mar 31, 2023 to Feb 16, 2024
- Advisory activities · 3 to 2Mar 31, 2023 to Feb 16, 2024
- Corporate clients · 0 to 21Mar 31, 2023 to Feb 16, 2024
- HNW clients · 31 to 71Mar 31, 2023 to Feb 16, 2024
- Individual clients · 167 to 119Mar 31, 2023 to Feb 16, 2024
- Pension plan clients · 1 to 0Mar 31, 2023 to Feb 16, 2024
- Pooled vehicle clients · 4 to 0Mar 31, 2023 to Feb 16, 2024
Signals
3 dated events
- Warren Capital Group reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 16, 2024 · Succession (Item 4) · fact
- Stelling Parker Allen (Cco) appeared on Schedule A of Warren Capital GroupFeb 25, 2022 · Control person joined · fact
- Warren Capital Group filed its initial SEC registration (Form ADV)Apr 12, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Warren Capital Group · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- jrw@warcap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 854-246-8881reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/WARREN-CAPITAL-GROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WARCAP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 8542468881reportedpublic record, Form ADV, Jun 11, 2026
- Contact form
- warcap.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- warcap.com/meet-our-teamreportedpublished 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
- $43.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026