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 Capital Advisors, LLC

Former SEC-registered adviserGreenville, South CarolinaCRD 145460SEC 801-68568IAPD
Latest filing Apr 8, 2024
First filing on the tape Mar 30, 2012 · 54 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
43%
$748M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
26 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$1.7B as of Mar 26, 2024
Mar 30, 2012$568M then
HNW client RAUM$557M as of Mar 26, 2024
Mar 28, 2018$363M then
State-registered IARs (5.B.3)26 as of Mar 26, 2024
Mar 30, 20120 then
Employees (5.A)35 as of Mar 26, 2024
Mar 4, 201311 then
Private funds: no history
RAUM +1.1% over the last fiscal year+4.3% a year over threeIARs 30 to 26offices 3 to 2
Practice profile
derived from the filing of Apr 8, 2024; every figure names its basis
RAUM per advisor
$67.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$886,155derivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
53%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
8.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+1.1%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
$131MreportedItem 5.I
Custody
$1.1B, 1,026 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)
  • 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
  • Pension and profit-sharing plans$731M42%
  • High-net-worth individuals$557M32%
  • Individuals$191M11%
  • State and municipal entities$134M7.7%
  • Charitable organizations$66.5M3.8%
  • Corporations and businesses$46.2M2.6%
  • Investment companies$18.1M1.0%
Individual clients
672reported
HNW clients
267reported
Pension plan clients
76reported
Charitable clients
12reported
Accounts
1,968reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$1.1B for 1,026 clientsreported
Compensation
% of AUM, fixed, 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
  • Ray Allen Gillespie · Presidentcontrol
    since 07/2023 · owns less than 5%
  • Eric David Lewis · Chief Operations Officercontrol
    since 10/2021 · owns less than 5%
  • Sue Valerie Smithey · Chief Compliance Officercontrol
    since 11/2007 · owns less than 5%
Entity owners
  • United Community Banks, Inc. · Member
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Advisers that list Fintrust Capital Advisors, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Anderson, Sc000
Columbia, Sc000
Greenville, Sc · principal000
Macon, Ga000
Athens, Ga000
Offices
Schedule D 1.F, the 25 largest
  • Athens, GA6 employees
  • Anderson, SC3 employees
What changed
consecutive filings, newest first
  • Related adviser · true to false
    Mar 26, 2024 to Mar 29, 2024
  • Accounts · 2,083 to 1,968
    Jan 22, 2024 to Mar 26, 2024
  • Advisory employees · 30 to 26
    Jan 22, 2024 to Mar 26, 2024
  • BD registered reps · 31 to 24
    Jan 22, 2024 to Mar 26, 2024
  • Charity clients · 14 to 12
    Jan 22, 2024 to Mar 26, 2024
  • Corporate clients · 33 to 31
    Jan 22, 2024 to Mar 26, 2024
  • HNW clients · 281 to 267
    Jan 22, 2024 to Mar 26, 2024
  • Individual clients · 695 to 672
    Jan 22, 2024 to Mar 26, 2024
  • Pension plan clients · 78 to 76
    Jan 22, 2024 to Mar 26, 2024
  • Assets in custody · $1.1B to $1.1B
    Jan 22, 2024 to Mar 26, 2024
  • Employees · 44 to 35
    Jan 22, 2024 to Mar 26, 2024
  • State-registered IARs · 30 to 26
    Jan 22, 2024 to Mar 26, 2024
  • Other offices · 3 to 2
    Jan 22, 2024 to Mar 26, 2024
  • Discretionary RAUM · $1.3B to $1.4B
    Jan 22, 2024 to Mar 26, 2024
  • HNW RAUM · $596M to $557M
    Jan 22, 2024 to Mar 26, 2024
  • Individual RAUM · $184M to $191M
    Jan 22, 2024 to Mar 26, 2024
  • Non-discretionary RAUM · $405M to $354M
    Jan 22, 2024 to Mar 26, 2024
  • Pension RAUM · $731M to $731M
    Jan 22, 2024 to Mar 26, 2024
  • RAUM · $1.7B to $1.7B
    Jan 22, 2024 to Mar 26, 2024
  • Accounts · 1,876 to 2,083
    Nov 4, 2022 to Mar 31, 2023
  • Advisory employees · 27 to 30
    Nov 4, 2022 to Mar 31, 2023
  • BD registered reps · 27 to 31
    Nov 4, 2022 to Mar 31, 2023
  • Charity clients · 11 to 14
    Nov 4, 2022 to Mar 31, 2023
  • Corporate clients · 19 to 33
    Nov 4, 2022 to Mar 31, 2023
  • HNW clients · 269 to 281
    Nov 4, 2022 to Mar 31, 2023
  • Individual clients · 591 to 695
    Nov 4, 2022 to Mar 31, 2023
  • Pension plan clients · 69 to 78
    Nov 4, 2022 to Mar 31, 2023
  • Assets in custody · $1.3B to $1.1B
    Nov 4, 2022 to Mar 31, 2023
  • Employees · 37 to 44
    Nov 4, 2022 to Mar 31, 2023
  • State-registered IARs · 27 to 30
    Nov 4, 2022 to Mar 31, 2023
  • Other offices · 4 to 3
    Nov 4, 2022 to Mar 31, 2023
  • Discretionary RAUM · $1.2B to $1.3B
    Nov 4, 2022 to Mar 31, 2023
  • HNW RAUM · $602M to $596M
    Nov 4, 2022 to Mar 31, 2023
  • Individual RAUM · $181M to $184M
    Nov 4, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $576M to $405M
    Nov 4, 2022 to Mar 31, 2023
  • Pension RAUM · $709M to $731M
    Nov 4, 2022 to Mar 31, 2023
  • RAUM · $1.8B to $1.7B
    Nov 4, 2022 to Mar 31, 2023
  • Accounts · 1,598 to 1,876
    Jan 24, 2022 to Mar 17, 2022
  • Advisory employees · 25 to 27
    Jan 24, 2022 to Mar 17, 2022
  • BD registered reps · 25 to 27
    Jan 24, 2022 to Mar 17, 2022
Signals
33 dated events
  • Cody Mann left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-01)
    Oct 15, 2024 · Advisor changed firm · fact
  • Teresa Renee Sylvester left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-11)
    Oct 15, 2024 · Advisor changed firm · fact
  • Brittany Chester Bynum left Fintrust Capital Advisors, Llc for Colonial Trust Advisors, Inc. (registered 2025-06-19)
    Oct 15, 2024 · Advisor changed firm · fact
  • Archibald Hardy left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 15, 2024 · Advisor changed firm · fact
  • Donna Lee Rasile left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-01)
    Oct 15, 2024 · Advisor changed firm · fact
  • Vincent Cosmo Duvigneaud left Fintrust Capital Advisors, Llc for M3Sixty Capital, Llc (registered 2026-01-06)
    Oct 3, 2024 · Advisor changed firm · fact
  • Holland Church left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-01)
    Oct 3, 2024 · Advisor changed firm · fact
  • 4 advisors left Fintrust Capital Advisors, LLC (Athens, GA) for Wealth Enhancement Advisory Services, LLC within 12 days
    Oct 3, 2024 · Team lift-out · derived
  • Elizabeth M Pusateri left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • David Lewis left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • Edward F Blackburn left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • James Mercer Treadwell left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • Allen Ray Gillespie left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • John Arlington Gholson left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-03)
    Oct 3, 2024 · Advisor changed firm · fact
  • Harry Stephen Popper left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-09)
    Oct 3, 2024 · Advisor changed firm · fact
  • Madeline Huffman left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • Philip Hamilton Brice left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • Paul Gordon left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • Fintrust Capital Advisors, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Greenville, SC): 17 of 23 registered, within 12 days
    Oct 3, 2024 · Firm absorbed (people side) · derived
  • William Michael Gordon left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-03)
    Oct 3, 2024 · Advisor changed firm · fact
  • Spencer Cole left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • William E Kibler left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • William B. Kibler left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • Lee Ryan Brinson left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-07)
    Oct 3, 2024 · Advisor changed firm · fact
  • Bethany Jane Thompson left Fintrust Capital Advisors, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-02)
    Oct 3, 2024 · Advisor changed firm · fact
  • Samantha Schnurr left Fintrust Capital Advisors, Llc for Sincerus Advisory (registered 2024-05-05)
    Mar 19, 2024 · Advisor changed firm · fact
  • Cassidy Murphy left Fintrust Capital Advisors, Llc for Range Advisory, Llc (registered 2023-12-15)
    Nov 13, 2023 · Advisor changed firm · fact
  • Patrick Richard Sheridan (Chief Executive Officer) no longer on Schedule A of Fintrust Capital Advisors, Llc (listed 2023-04-21, absent 2023-07-14)
    Jul 14, 2023 · Control person left · inference
  • Ray Allen Gillespie (President) appeared on Schedule A of Fintrust Capital Advisors, Llc
    Jul 14, 2023 · Control person joined · fact
  • Robert Blane Brooks left Fintrust Capital Advisors, Llc for Resurgent Advisors (registered 2023-11-28)
    Jun 26, 2023 · Advisor changed firm · fact
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