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

Kingfisher Capital, LLC

Former SEC-registered adviserCharlotte, North CarolinaCRD 150484SEC 801-70267IAPD
Latest filing Mar 19, 2024
First filing on the tape Dec 2, 2011 · 32 filings
RAUM
$607M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$460M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$607M as of Mar 19, 2024
Mar 28, 2012$239M then
HNW client RAUM$400M as of Mar 19, 2024
Mar 29, 2018$232M then
State-registered IARs (5.B.3)5 as of Mar 19, 2024
Mar 15, 20135 then
Employees (5.A)7 as of Mar 19, 2024
Mar 15, 20138 then
Private funds: no history
RAUM +0.6% over the last fiscal year+7.1% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 19, 2024; every figure names its basis
RAUM per advisor
$121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$918,019derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$545MreportedItem 5.I
Custody
$280M, 295 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
  • 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)
  • 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$400M66%
  • Corporations and businesses$130M21%
  • Individuals$59.3M9.8%
  • Charitable organizations$13.6M2.2%
  • Pension and profit-sharing plans$3.7M0.6%
Individual clients
138reported
HNW clients
115reported
Pension plan clients
n/areported
Charitable clients
11reported
Accounts
661reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$280M for 295 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
    • Knight Howell Hallett · Managing Partner/Chief Compliance Officercontrol
      since 04/2009 · owns less than 5%
    • Bateman Alexander Miles · Managing Partner/Chief Investment Officercontrol
      since 04/2009 · owns less than 5%
    Entity owners
    • Mercer Global Advisors Inc. · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Charlotte, Nc · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 702 to 661
      Oct 26, 2023 to Mar 19, 2024
    • Charity clients · 10 to 11
      Oct 26, 2023 to Mar 19, 2024
    • Corporate clients · 41 to 42
      Oct 26, 2023 to Mar 19, 2024
    • HNW clients · 111 to 115
      Oct 26, 2023 to Mar 19, 2024
    • Individual clients · 156 to 138
      Oct 26, 2023 to Mar 19, 2024
    • Pension plan clients · 8.0 to unset
      Oct 26, 2023 to Mar 19, 2024
    • Assets in custody · $257M to $280M
      Oct 26, 2023 to Mar 19, 2024
    • Discretionary RAUM · $603M to $607M
      Oct 26, 2023 to Mar 19, 2024
    • HNW RAUM · $388M to $400M
      Oct 26, 2023 to Mar 19, 2024
    • Individual RAUM · $64.9M to $59.3M
      Oct 26, 2023 to Mar 19, 2024
    • Pension RAUM · $31.0M to $3.7M
      Oct 26, 2023 to Mar 19, 2024
    • RAUM · $603M to $607M
      Oct 26, 2023 to Mar 19, 2024
    • Accounts · 676 to 702
      Mar 23, 2022 to Feb 23, 2023
    • Charity clients · 11 to 10
      Mar 23, 2022 to Feb 23, 2023
    • Corporate clients · 36 to 41
      Mar 23, 2022 to Feb 23, 2023
    • HNW clients · 122 to 111
      Mar 23, 2022 to Feb 23, 2023
    • Individual clients · 134 to 156
      Mar 23, 2022 to Feb 23, 2023
    • Pension plan clients · 9 to 8
      Mar 23, 2022 to Feb 23, 2023
    • Assets in custody · $279M to $257M
      Mar 23, 2022 to Feb 23, 2023
    • Employees · 9 to 7
      Mar 23, 2022 to Feb 23, 2023
    • Discretionary RAUM · $586M to $603M
      Mar 23, 2022 to Feb 23, 2023
    • HNW RAUM · $391M to $388M
      Mar 23, 2022 to Feb 23, 2023
    • Individual RAUM · $55.9M to $64.9M
      Mar 23, 2022 to Feb 23, 2023
    • Pension RAUM · $41.4M to $31.0M
      Mar 23, 2022 to Feb 23, 2023
    • RAUM · $586M to $603M
      Mar 23, 2022 to Feb 23, 2023
    • Accounts · 287 to 676
      Nov 3, 2021 to Mar 23, 2022
    • Charity clients · 8 to 11
      Nov 3, 2021 to Mar 23, 2022
    • Corporate clients · 31 to 36
      Nov 3, 2021 to Mar 23, 2022
    • HNW clients · 102 to 122
      Nov 3, 2021 to Mar 23, 2022
    • Individual clients · 136 to 134
      Nov 3, 2021 to Mar 23, 2022
    • Pension plan clients · 10 to 9
      Nov 3, 2021 to Mar 23, 2022
    • Assets in custody · $196M to $279M
      Nov 3, 2021 to Mar 23, 2022
    • Employees · 8 to 9
      Nov 3, 2021 to Mar 23, 2022
    • Discretionary RAUM · $494M to $586M
      Nov 3, 2021 to Mar 23, 2022
    • HNW RAUM · $315M to $391M
      Nov 3, 2021 to Mar 23, 2022
    • Individual RAUM · $56.4M to $55.9M
      Nov 3, 2021 to Mar 23, 2022
    • Pension RAUM · $48.7M to $41.4M
      Nov 3, 2021 to Mar 23, 2022
    • RAUM · $494M to $586M
      Nov 3, 2021 to Mar 23, 2022
    • Accounts · 587 to 287
      Dec 7, 2020 to Mar 22, 2021
    • Charity clients · 6 to 8
      Dec 7, 2020 to Mar 22, 2021
    Signals
    7 dated events
    • Howell Knight Hallett left Kingfisher Capital, Llc for Mercer Global Advisors Inc. (registered 2023-11-01)
      Nov 7, 2024 · Advisor changed firm · fact
    • Edward Brian Smyth left Kingfisher Capital, Llc for Mercer Global Advisors Inc. (registered 2023-11-01)
      Nov 7, 2024 · Advisor changed firm · fact
    • Hanna H Yesuf left Kingfisher Capital, Llc for Mercer Global Advisors Inc. (registered 2023-10-31)
      Nov 7, 2024 · Advisor changed firm · fact
    • Nicole Brandon left Kingfisher Capital, Llc for Mercer Global Advisors Inc. (registered 2023-10-27)
      Nov 7, 2024 · Advisor changed firm · fact
    • Alexander Bateman Miles left Kingfisher Capital, Llc for Mercer Global Advisors Inc. (registered 2023-10-27)
      Nov 7, 2024 · Advisor changed firm · fact
    • Kingfisher Capital, LLC's advisors moved to Mercer Global Advisors Inc. (Charlotte, NC): 5 of 5 registered, on the same day
      Nov 7, 2024 · Firm absorbed (people side) · derived
    • Kingfisher Capital, Llc reported RAUM $494.2M, up 29% from $382.2M (2020-12-07 to 2021-03-22)
      Mar 22, 2021 · RAUM change · derived
    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