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

C•• G••••

Former SEC-registered adviserGreenville, South CarolinaCRD 151838SEC 801-70794IAPD
Legal name C•••••• D••••• A••••••••• G••••• L••
Latest filing Jun 30, 2020
First filing on the tape Mar 13, 2012 · 21 filings
RAUM
$481M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$481M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$481M as of Mar 30, 2020
Mar 13, 2012$150M then
HNW client RAUM$431M as of Mar 30, 2020
Mar 24, 2018$328M then
State-registered IARs (5.B.3)3 as of Mar 30, 2020
Mar 13, 20120 then
Employees (5.A)3 as of Mar 30, 2020
Feb 28, 20139 then
Private funds: no history
RAUM +20% over the last fiscal year+6.3% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$160MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
104derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$480,522derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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$431M90%
  • Individuals$49.8M10%
Individual clients
194reported
HNW clients
118reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,000reported
Financial planning clients
251-500reported
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
Left, 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
    • G••••••• J••••••• K••• · Coo/Membercontrol
      since 06/2018 · owns less than 5%
    • S••••••••• J•••••• D•••• · Cco/Ceo/Membercontrol
      since 06/2018 · owns less than 5%
    • G••••••• J••••••• K••• · Owner/Presidentcontrol
      since 01/2015 · owns 75% or more of G•••••• F•••••••• M••••••••• I•••
    • S••••••••• J•••••• D•••• · Owner/Managing Membercontrol
      since 01/2015 · owns 75% or more of S•••••••• C•••••• M••••••••• L••
    Entity owners
    • G•••••• F•••••••• M••••••••• I••• · Owner/Member
      direct · owns 10% to 25%
    • S•••••••• C•••••• M••••••••• L•• · Owner/Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • C•••••• L• A••••••••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    • Salem, SC3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,184 to 1,000
      Jun 19, 2019 to Mar 30, 2020
    • Advisory employees · 2 to 3
      Jun 19, 2019 to Mar 30, 2020
    • HNW clients · 91 to 118
      Jun 19, 2019 to Mar 30, 2020
    • Individual clients · 196 to 194
      Jun 19, 2019 to Mar 30, 2020
    • Pension plan clients · 11.0 to unset
      Jun 19, 2019 to Mar 30, 2020
    • Employees · 9 to 3
      Jun 19, 2019 to Mar 30, 2020
    • State-registered IARs · 2 to 3
      Jun 19, 2019 to Mar 30, 2020
    • HNW RAUM · $314M to $431M
      Jun 19, 2019 to Mar 30, 2020
    • Individual RAUM · $75.8M to $49.8M
      Jun 19, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $399M to $481M
      Jun 19, 2019 to Mar 30, 2020
    • Pension RAUM · 9429002.0 to unset
      Jun 19, 2019 to Mar 30, 2020
    • RAUM · $399M to $481M
      Jun 19, 2019 to Mar 30, 2020
    • Related insurance company · false to true
      Jun 19, 2019 to Mar 30, 2020
    • Accounts · 1,256 to 1,184
      Sep 26, 2018 to Mar 21, 2019
    • Advisory employees · 4 to 2
      Sep 26, 2018 to Mar 21, 2019
    • HNW clients · 103 to 91
      Sep 26, 2018 to Mar 21, 2019
    • Individual clients · 202 to 196
      Sep 26, 2018 to Mar 21, 2019
    • Pension plan clients · 8 to 11
      Sep 26, 2018 to Mar 21, 2019
    • State-registered IARs · 4 to 2
      Sep 26, 2018 to Mar 21, 2019
    • Other offices · 0 to 1
      Sep 26, 2018 to Mar 21, 2019
    • HNW RAUM · $328M to $314M
      Sep 26, 2018 to Mar 21, 2019
    • Individual RAUM · $65.5M to $75.8M
      Sep 26, 2018 to Mar 21, 2019
    • Non-discretionary RAUM · $406M to $399M
      Sep 26, 2018 to Mar 21, 2019
    • Pension RAUM · $12.2M to $9.4M
      Sep 26, 2018 to Mar 21, 2019
    • RAUM · $406M to $399M
      Sep 26, 2018 to Mar 21, 2019
    • Related insurance company · true to false
      Sep 26, 2018 to Mar 21, 2019
    • Accounts · 1,225 to 1,256
      Jul 31, 2017 to Mar 24, 2018
    • HNW clients · unset to 103.0
      Jul 31, 2017 to Mar 24, 2018
    • Individual clients · unset to 202.0
      Jul 31, 2017 to Mar 24, 2018
    • Pension plan clients · unset to 8.0
      Jul 31, 2017 to Mar 24, 2018
    • Employees · 10 to 9
      Jul 31, 2017 to Mar 24, 2018
    • Financial planning clients · 101-250 to 251-500
      Jul 31, 2017 to Mar 24, 2018
    • Other offices · unset to 0.0
      Jul 31, 2017 to Mar 24, 2018
    • HNW RAUM · unset to 328014864.0
      Jul 31, 2017 to Mar 24, 2018
    • Individual RAUM · unset to 65486204.0
      Jul 31, 2017 to Mar 24, 2018
    • Non-discretionary RAUM · $400M to $406M
      Jul 31, 2017 to Mar 24, 2018
    • Pension RAUM · unset to 12228976.0
      Jul 31, 2017 to Mar 24, 2018
    • RAUM · $400M to $406M
      Jul 31, 2017 to Mar 24, 2018
    • Accounts · 1,166 to 1,225
      Mar 21, 2016 to Feb 6, 2017
    • Business name · C•••••• D••••• A••••••••• G••••• L•• to C•• G••••
      Mar 21, 2016 to Feb 6, 2017
    Signals
    1 dated events
    • C•••••• D••••• A••••••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Apr 22, 2015 · Succession (Item 4) · 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