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

Hatteras Capital Investment Management, LLC

Former SEC-registered adviserRaleigh, North CarolinaCRD 143805SEC 801-68363IAPD
Latest filing Mar 28, 2014
First filing on the tape Nov 11, 2011 · 5 filings
RAUM
$87.9M
reported, Item 5.F
Discretionary
100%
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
40
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$18.1M gross assets
History
5 filings and snapshots on the tape
RAUM$87.9M as of Mar 28, 2014
Mar 29, 2012$51.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 28, 2014
Mar 29, 20120 then
Employees (5.A)40 as of Mar 28, 2014
Mar 28, 201345 then
Private funds2 as of Mar 28, 2014
Mar 29, 20122 then
RAUM +69% over the last fiscal yearIARs 12 to 8
Practice profile
derived from the filing of Mar 28, 2014; every figure names its basis
RAUM per advisor
$11.0MderivedRAUM 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
$14.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+69%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Brien David Perkins · Ceo/Founder/Managing Membercontrol
    since 02/2012 · owns 50% to 75%
  • Lance Robert Baker · Member And Chief Financial Officer
    since 03/2008 · owns less than 5%
  • Paul Andrew Chica · Member And Chief Compliance Officer
    since 03/2008 · owns less than 5%
  • Michael James Fields · Member And Chief Operating Officer
    since 03/2008 · owns 5% to 10%
  • Leslie Robert Worthington · Managing Member And President
    since 09/2007 · owns 10% to 25%
Related persons
Schedule D 7.A
Advisers that list Hatteras Capital Investment Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 5 to 6
    Mar 28, 2013 to Mar 28, 2014
  • Advisory employees · 5 to 6
    Mar 28, 2013 to Mar 28, 2014
  • BD registered reps · 32 to 28
    Mar 28, 2013 to Mar 28, 2014
  • Employees · 45 to 40
    Mar 28, 2013 to Mar 28, 2014
  • Insurance-licensed employees · 12 to 8
    Mar 28, 2013 to Mar 28, 2014
  • State-registered IARs · 12 to 8
    Mar 28, 2013 to Mar 28, 2014
  • Discretionary RAUM · $52.0M to $87.9M
    Mar 28, 2013 to Mar 28, 2014
  • RAUM · $52.0M to $87.9M
    Mar 28, 2013 to Mar 28, 2014
  • Advisory employees · unset to 5.0
    Jun 29, 2012 to Mar 28, 2013
  • BD registered reps · unset to 32.0
    Jun 29, 2012 to Mar 28, 2013
  • Employees · unset to 45.0
    Jun 29, 2012 to Mar 28, 2013
  • Insurance-licensed employees · 16 to 12
    Jun 29, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 12
    Jun 29, 2012 to Mar 28, 2013
  • Discretionary RAUM · $51.3M to $52.0M
    Jun 29, 2012 to Mar 28, 2013
  • RAUM · $51.3M to $52.0M
    Jun 29, 2012 to Mar 28, 2013
  • Related bank · false to true
    Jun 29, 2012 to Mar 28, 2013
  • Insurance-licensed employees · unset to 16.0
    Nov 11, 2011 to Mar 29, 2012
  • Private funds · unset to 2
    Nov 11, 2011 to Mar 29, 2012
  • Discretionary RAUM · $59.5M to $51.3M
    Nov 11, 2011 to Mar 29, 2012
  • RAUM · $59.5M to $51.3M
    Nov 11, 2011 to Mar 29, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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