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

A••••• • H••••• P•••••• C••••• G••••• L••

Former SEC-registered adviserWilmington, North CarolinaCRD 150580SEC 801-70436IAPD
Latest filing Feb 14, 2017
First filing on the tape Mar 1, 2012 · 10 filings
RAUM
$111M
reported, Item 5.F
Discretionary
96%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$111M as of Feb 14, 2017
Mar 1, 2012$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 14, 2017
Mar 1, 20120 then
Employees (5.A)5 as of Feb 14, 2017
Mar 4, 20136 then
Private funds: no history
RAUM -12% over the last fiscal year-11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 14, 2017; every figure names its basis
RAUM per advisor
$27.7MderivedRAUM 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
$287,382derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-12%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
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
385reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • A•••••• W••••••• G••••• · Managing Member/Chief Compliance Officercontrol
      since 08/2009 · owns 50% to 75%
    • H•••••• J••••• A••••• · Managing Membercontrol
      since 08/2009 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 363 to 385
      Oct 4, 2016 to Feb 14, 2017
    • Advisory activities · 5 to 6
      Oct 4, 2016 to Feb 14, 2017
    • Discretionary RAUM · $117M to $106M
      Oct 4, 2016 to Feb 14, 2017
    • Non-discretionary RAUM · $8.6M to $4.5M
      Oct 4, 2016 to Feb 14, 2017
    • RAUM · $126M to $111M
      Oct 4, 2016 to Feb 14, 2017
    • Business name · A••••• • H••••• A•••• M••••••••• L•• to A••••• • H••••• P•••••• C••••• G••••• L••
      Aug 16, 2016 to Oct 4, 2016
    • Legal name · A••••• • H••••• A•••• M••••••••• L•• to A••••• • H••••• P•••••• C••••• G••••• L••
      Aug 16, 2016 to Oct 4, 2016
    • Accounts · 364 to 363
      Mar 17, 2015 to Mar 29, 2016
    • Discretionary RAUM · $137M to $117M
      Mar 17, 2015 to Mar 29, 2016
    • Non-discretionary RAUM · $10.2M to $8.6M
      Mar 17, 2015 to Mar 29, 2016
    • RAUM · $147M to $126M
      Mar 17, 2015 to Mar 29, 2016
    • Accounts · 443 to 364
      Mar 24, 2014 to Mar 17, 2015
    • Discretionary RAUM · $144M to $137M
      Mar 24, 2014 to Mar 17, 2015
    • Non-discretionary RAUM · $11.4M to $10.2M
      Mar 24, 2014 to Mar 17, 2015
    • RAUM · $155M to $147M
      Mar 24, 2014 to Mar 17, 2015
    • Accounts · 140 to 443
      Aug 22, 2013 to Mar 24, 2014
    • Advisory employees · 5 to 4
      Aug 22, 2013 to Mar 24, 2014
    • Employees · 6 to 5
      Aug 22, 2013 to Mar 24, 2014
    • State-registered IARs · 5 to 4
      Aug 22, 2013 to Mar 24, 2014
    • Discretionary RAUM · $101M to $144M
      Aug 22, 2013 to Mar 24, 2014
    • Non-discretionary RAUM · $26.1M to $11.4M
      Aug 22, 2013 to Mar 24, 2014
    • RAUM · $127M to $155M
      Aug 22, 2013 to Mar 24, 2014
    • Advisory employees · unset to 5.0
      Mar 1, 2012 to Mar 4, 2013
    • Employees · unset to 6.0
      Mar 1, 2012 to Mar 4, 2013
    • Financial planning clients · 0 to 1-10
      Mar 1, 2012 to Mar 4, 2013
    • State-registered IARs · 0 to 5
      Mar 1, 2012 to Mar 4, 2013
    • Discretionary RAUM · $80.0M to $101M
      Mar 1, 2012 to Mar 4, 2013
    • Non-discretionary RAUM · $30.0M to $26.1M
      Mar 1, 2012 to Mar 4, 2013
    • RAUM · $110M to $127M
      Mar 1, 2012 to Mar 4, 2013
    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