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.

Former SEC-registered adviser

Fintrust Investment Advisory Services, LLC

Former SEC-registered adviserGreenville, South CarolinaCRD 139887SEC 801-66407IAPD
Latest filing Feb 15, 2018
First filing on the tape Nov 9, 2011 · 18 filings
RAUM
$410M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$410M as of Mar 27, 2017
Mar 30, 2012$622M then
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 27, 2017
Mar 28, 201312 then
Employees (5.A)24 as of Mar 27, 2017
Mar 28, 201314 then
Private funds: no history
RAUM +30% over the last fiscal year+19% a year over threeIARs 10 to 13
Practice profile
derived from the filing of Feb 15, 2018; every figure names its basis
RAUM per advisor
$31.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$430,726derivedRAUM over accounts (5.F.2.f)
Discretionary
70%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
3.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+30%derivedbetween the last two annual amendments
Advisor growth, one year
+30%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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 an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
952reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Left, latest
Joined, latest
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
    • Hamilton Philip Brice · Managing Membercontrol
      since 03/2011 · owns less than 5%
    • Ray Allen Gillespie · Chief Compliance Officer, Managing Membercontrol
      since 03/2011 · owns less than 5%
    • Patrick Richard Sheridan · Managing Membercontrol
      since 01/2018 · owns less than 5%
    • Hamilton Philip Brice · Managing Membercontrol
      since 01/2018 · owns 75% or more of Phb Holdings,LLC
    • Patrick Richard Sheridan · Managing Membercontrol
      since 01/2018 · owns 75% or more of Broad Street Capital Partners, LLC
    Entity owners
    • Fintrust Capital Partners, LLC · Direct Owner
      direct · owns 75% or more
    • Broad Street Capital Partners, LLC · Owner
      indirect · owns 25% to 50% of Fintrust Capital Partners, LLC
    • Phb Holdings,LLC · Owner
      indirect · owns 25% to 50% of Fintrust Capital Partners, LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Anderson, SC1 employees
    • Charleston, SC1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 11 to 13
      Mar 30, 2017 to Jan 26, 2018
    • BD registered reps · 18 to 17
      Mar 30, 2017 to Jan 26, 2018
    • Other offices · unset to 3.0
      Mar 30, 2017 to Jan 26, 2018
    • Wrap assets (manager) · unset to 0.0
      Mar 30, 2017 to Jan 26, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Mar 30, 2017 to Jan 26, 2018
    • Accounts · 700 to 952
      Oct 26, 2016 to Mar 27, 2017
    • Advisory employees · 10 to 11
      Oct 26, 2016 to Mar 27, 2017
    • BD registered reps · 21 to 18
      Oct 26, 2016 to Mar 27, 2017
    • Employees · 23 to 24
      Oct 26, 2016 to Mar 27, 2017
    • State-registered IARs · 10 to 13
      Oct 26, 2016 to Mar 27, 2017
    • Discretionary RAUM · $228M to $288M
      Oct 26, 2016 to Mar 27, 2017
    • Non-discretionary RAUM · $88.1M to $122M
      Oct 26, 2016 to Mar 27, 2017
    • RAUM · $316M to $410M
      Oct 26, 2016 to Mar 27, 2017
    • Accounts · 693 to 700
      Mar 23, 2015 to Mar 1, 2016
    • Advisory employees · 9 to 10
      Mar 23, 2015 to Mar 1, 2016
    • BD registered reps · 16 to 21
      Mar 23, 2015 to Mar 1, 2016
    • Commission compensation · true to false
      Mar 23, 2015 to Mar 1, 2016
    • Assets in custody · unset to 0.0
      Mar 23, 2015 to Mar 1, 2016
    • Employees · 21 to 23
      Mar 23, 2015 to Mar 1, 2016
    • Discretionary RAUM · $228M to $228M
      Mar 23, 2015 to Mar 1, 2016
    • Non-discretionary RAUM · $62.9M to $88.1M
      Mar 23, 2015 to Mar 1, 2016
    • RAUM · $290M to $316M
      Mar 23, 2015 to Mar 1, 2016
    • Accounts · 594 to 693
      Jan 9, 2015 to Mar 23, 2015
    • BD registered reps · 9 to 16
      Jan 9, 2015 to Mar 23, 2015
    • Employees · 17 to 21
      Jan 9, 2015 to Mar 23, 2015
    • Insurance-licensed employees · 0 to 2
      Jan 9, 2015 to Mar 23, 2015
    • State-registered IARs · 9 to 10
      Jan 9, 2015 to Mar 23, 2015
    • Discretionary RAUM · $196M to $228M
      Jan 9, 2015 to Mar 23, 2015
    • Non-discretionary RAUM · $48.6M to $62.9M
      Jan 9, 2015 to Mar 23, 2015
    • RAUM · $244M to $290M
      Jan 9, 2015 to Mar 23, 2015
    • Accounts · 645 to 594
      Nov 7, 2013 to Mar 31, 2014
    • Advisory employees · 10 to 9
      Nov 7, 2013 to Mar 31, 2014
    • BD registered reps · 12 to 9
      Nov 7, 2013 to Mar 31, 2014
    • Commission compensation · false to true
      Nov 7, 2013 to Mar 31, 2014
    • Employees · 15 to 17
      Nov 7, 2013 to Mar 31, 2014
    • Insurance-licensed employees · 1 to 0
      Nov 7, 2013 to Mar 31, 2014
    • State-registered IARs · 12 to 9
      Nov 7, 2013 to Mar 31, 2014
    • Discretionary RAUM · $208M to $196M
      Nov 7, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $54.0M to $48.6M
      Nov 7, 2013 to Mar 31, 2014
    • RAUM · $262M to $244M
      Nov 7, 2013 to Mar 31, 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