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••••••• C•••••• A•••••••• L••

Former SEC-registered adviserRaleigh, North CarolinaCRD 150636SEC 801-70314IAPD
Latest filing Mar 30, 2015
First filing on the tape Apr 13, 2012 · 8 filings
RAUM
$154M
reported, Item 5.F
Discretionary
90%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$154M as of Mar 30, 2015
Apr 13, 2012$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2015
Apr 13, 20120 then
Employees (5.A)4 as of Mar 30, 2015
Mar 13, 20133 then
Private funds: no history
RAUM +6.2% over the last fiscal year+6.7% a year over threeIARs 1 to 4
Practice profile
derived from the filing of Mar 30, 2015; every figure names its basis
RAUM per advisor
$38.5MderivedRAUM 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
$396,907derivedRAUM over accounts (5.F.2.f)
Discretionary
90%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.2%derivedbetween the last two annual amendments
Advisor growth, one year
+300%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 advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
388reported
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
    • H••••••• M••••••• J•• · Managing Member & Chief Compliance Officercontrol
      since 06/2009 · owns 75% or more
    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
    • Advisory employees · 1 to 3
      Mar 27, 2014 to Mar 30, 2015
    • BD registered reps · 2 to 4
      Mar 27, 2014 to Mar 30, 2015
    • Employees · 3 to 4
      Mar 27, 2014 to Mar 30, 2015
    • State-registered IARs · 1 to 4
      Mar 27, 2014 to Mar 30, 2015
    • Discretionary RAUM · $127M to $139M
      Mar 27, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $18.0M to $15.0M
      Mar 27, 2014 to Mar 30, 2015
    • RAUM · $145M to $154M
      Mar 27, 2014 to Mar 30, 2015
    • Accounts · 424 to 388
      Mar 26, 2013 to Mar 27, 2014
    • Discretionary RAUM · $122M to $127M
      Mar 26, 2013 to Mar 27, 2014
    • Non-discretionary RAUM · $5.6M to $18.0M
      Mar 26, 2013 to Mar 27, 2014
    • RAUM · $127M to $145M
      Mar 26, 2013 to Mar 27, 2014
    • Accounts · 431 to 424
      Aug 10, 2012 to Mar 13, 2013
    • Advisory employees · unset to 1.0
      Aug 10, 2012 to Mar 13, 2013
    • BD registered reps · unset to 2.0
      Aug 10, 2012 to Mar 13, 2013
    • Commission compensation · true to false
      Aug 10, 2012 to Mar 13, 2013
    • Employees · unset to 3.0
      Aug 10, 2012 to Mar 13, 2013
    • State-registered IARs · 0 to 1
      Aug 10, 2012 to Mar 13, 2013
    • Discretionary RAUM · $123M to $122M
      Aug 10, 2012 to Mar 13, 2013
    • Non-discretionary RAUM · $3.6M to $5.6M
      Aug 10, 2012 to Mar 13, 2013
    • RAUM · $127M to $127M
      Aug 10, 2012 to Mar 13, 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