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.

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Former SEC-registered adviser

G••••• S••••••••• I•••

Former SEC-registered adviserCharleston, South CarolinaCRD 149584SEC 801-80775IAPD
Latest filing Apr 1, 2019
First filing on the tape Dec 16, 2014 · 14 filings
RAUM
$42.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$42.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$42.1M as of Apr 1, 2019
Mar 20, 2015$39.6M then
HNW client RAUM$42.1M as of Apr 1, 2019
Mar 27, 2018$40.2M then
State-registered IARs (5.B.3)1 as of Apr 1, 2019
Mar 20, 20151 then
Employees (5.A)1 as of Apr 1, 2019
Mar 20, 20151 then
Private funds: no history
RAUM +4.7% over the last fiscal year+2.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2019; every figure names its basis
RAUM per advisor
$42.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$593,111derivedHNW RAUM over HNW clients
Average account
$438,655derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • High-net-worth individuals$42.1M100%
Individual clients
n/areported
HNW clients
71reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
96reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E•••••• M•••••• S•••• · Ceo/Chief Compliance Officercontrol
      since 04/2009 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 103 to 96
      Mar 27, 2018 to Apr 1, 2019
    • HNW clients · 75 to 71
      Mar 27, 2018 to Apr 1, 2019
    • Discretionary RAUM · $40.2M to $42.1M
      Mar 27, 2018 to Apr 1, 2019
    • HNW RAUM · $40.2M to $42.1M
      Mar 27, 2018 to Apr 1, 2019
    • RAUM · $40.2M to $42.1M
      Mar 27, 2018 to Apr 1, 2019
    • Accounts · 104 to 103
      Mar 31, 2017 to Mar 27, 2018
    • HNW clients · unset to 75.0
      Mar 31, 2017 to Mar 27, 2018
    • Other offices · unset to 0.0
      Mar 31, 2017 to Mar 27, 2018
    • Discretionary RAUM · $38.3M to $40.2M
      Mar 31, 2017 to Mar 27, 2018
    • HNW RAUM · unset to 40216100.0
      Mar 31, 2017 to Mar 27, 2018
    • RAUM · $38.3M to $40.2M
      Mar 31, 2017 to Mar 27, 2018
    • Accounts · 84 to 104
      Mar 29, 2017 to Mar 31, 2017
    • Discretionary RAUM · $38.7M to $38.3M
      Mar 29, 2017 to Mar 31, 2017
    • RAUM · $38.7M to $38.3M
      Mar 29, 2017 to Mar 31, 2017
    • Accounts · 123 to 84
      Jan 4, 2016 to Mar 28, 2016
    • Discretionary RAUM · $39.6M to $38.7M
      Jan 4, 2016 to Mar 28, 2016
    • RAUM · $39.6M to $38.7M
      Jan 4, 2016 to Mar 28, 2016
    • HQ city · MT PLEASANT to CHARLESTON
      Sep 17, 2015 to Nov 19, 2015
    • Accounts · 92 to 123
      Jan 2, 2015 to Mar 20, 2015
    • Advisory activities · 2 to 1
      Jan 2, 2015 to Mar 20, 2015
    • Financial planning clients · 0 to unset
      Jan 2, 2015 to Mar 20, 2015
    • Discretionary RAUM · $38.3M to $39.6M
      Jan 2, 2015 to Mar 20, 2015
    • RAUM · $38.3M to $39.6M
      Jan 2, 2015 to Mar 20, 2015
    Signals
    1 dated events
    • G••••• S••••••••• I••• filed its initial SEC registration (Form ADV)
      Dec 16, 2014 · 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.
    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