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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••••• F•••••••• A•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Apr 13, 2012 · 29 filings
SEC status approved since Jan 4, 2016
RAUM
$262M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$254M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$262M as of Mar 16, 2026
Apr 13, 2012$73.9M then
HNW client RAUM$211M as of Mar 16, 2026
Jan 4, 2018$107M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Apr 13, 20120 then
Employees (5.A)5 as of Mar 16, 2026
Jan 31, 20175 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 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
- 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
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $408,139derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $188M, 158 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$211M80%
- Individuals$43.2M16%
- Pension and profit-sharing plans$6.4M2.4%
- Corporations and businesses$1.9M0.7%
- Charitable organizations$172,9130.1%
- Individual clients
- 108reported
- HNW clients
- 88reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 643reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $188M for 158 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• B•••••• B•••••Certified Financial Planner | C•••••••••, Sc | Feb 5, 2009 | 19 y | 0 |
| D•••• H••• B•••••••••Certified Financial Planner | C•••••••••, Sc | Nov 18, 2021 | 30 y | 4 |
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 headcount1 left over 36 months
Left, latest
- S••••• M••••• P••• to H•••••• P••• F•••••••• P•••••••Nov 20, 2024 · RIA to a state-registered adviser
Joined, latest
- D•••• H••• B••••••••• from A••••••• P••••••• P•••••••• L••Nov 18, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• D••••• H••• · Principalcontrolsince 01/2018 · owns 50% to 75%
- B•••••• M••••• B•••••• · Principalcontrolsince 01/2018 · owns 50% to 75%
- P••••••• W••••••• C••••••• · Chief Compliance Officersince 01/2006 · owns less than 5%
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 |
|---|---|---|---|---|---|
| C•••••••••, Sc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 605 to 643Mar 18, 2025 to Mar 16, 2026
- Corporate clients · 3 to 1Mar 18, 2025 to Mar 16, 2026
- HNW clients · 82 to 88Mar 18, 2025 to Mar 16, 2026
- Individual clients · 109 to 108Mar 18, 2025 to Mar 16, 2026
- Pension plan clients · 6 to 5Mar 18, 2025 to Mar 16, 2026
- Assets in custody · $158M to $188MMar 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $224M to $251MMar 18, 2025 to Mar 16, 2026
- HNW RAUM · $180M to $211MMar 18, 2025 to Mar 16, 2026
- Individual RAUM · $37.0M to $43.2MMar 18, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $9.7M to $11.7MMar 18, 2025 to Mar 16, 2026
- Pension RAUM · $7.7M to $6.4MMar 18, 2025 to Mar 16, 2026
- RAUM · $234M to $262MMar 18, 2025 to Mar 16, 2026
- Accounts · 595 to 605Jan 16, 2025 to Mar 18, 2025
- Corporate clients · 1 to 3Jan 16, 2025 to Mar 18, 2025
- HNW clients · 77 to 82Jan 16, 2025 to Mar 18, 2025
- Individual clients · 112 to 109Jan 16, 2025 to Mar 18, 2025
- Pension plan clients · 4 to 6Jan 16, 2025 to Mar 18, 2025
- Assets in custody · $61.0M to $158MJan 16, 2025 to Mar 18, 2025
- Financial planning clients · 11-25 to 11-25Jan 16, 2025 to Mar 18, 2025
- Discretionary RAUM · $206M to $224MJan 16, 2025 to Mar 18, 2025
- HNW RAUM · $167M to $180MJan 16, 2025 to Mar 18, 2025
- Individual RAUM · $37.3M to $37.0MJan 16, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $4.6M to $9.7MJan 16, 2025 to Mar 18, 2025
- Pension RAUM · $5.6M to $7.7MJan 16, 2025 to Mar 18, 2025
- RAUM · $211M to $234MJan 16, 2025 to Mar 18, 2025
- Advisory employees · 4 to 2Feb 21, 2024 to Jan 16, 2025
- State-registered IARs · 4 to 2Feb 21, 2024 to Jan 16, 2025
- Accounts · 617 to 595Nov 2, 2023 to Feb 21, 2024
- Corporate clients · 4 to 1Nov 2, 2023 to Feb 21, 2024
- HNW clients · 79 to 77Nov 2, 2023 to Feb 21, 2024
- Individual clients · 110 to 112Nov 2, 2023 to Feb 21, 2024
- Pension plan clients · 8 to 4Nov 2, 2023 to Feb 21, 2024
- Assets in custody · unset to 61000000.0Nov 2, 2023 to Feb 21, 2024
- Custody of client assets · false to trueNov 2, 2023 to Feb 21, 2024
- Discretionary RAUM · $184M to $206MNov 2, 2023 to Feb 21, 2024
- HNW RAUM · $145M to $167MNov 2, 2023 to Feb 21, 2024
- Individual RAUM · $34.4M to $37.3MNov 2, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $1.6M to $4.6MNov 2, 2023 to Feb 21, 2024
- Pension RAUM · $5.1M to $5.6MNov 2, 2023 to Feb 21, 2024
- RAUM · $186M to $211MNov 2, 2023 to Feb 21, 2024
Signals
2 dated events
- S••••• M••••• P••• left C••••••••• F•••••••• A•••••••• L•• for H•••••• P••• F•••••••• P••••••• (registered 2026-01-27)Nov 20, 2024 · Advisor changed firm · fact
- C••••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 18, 2015 · 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
- Business phone
- 843-722-3331reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/charleston-financial-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••••••FINANCIAL.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-722-3331reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- c•••••••••.netreportedpublished 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026