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•••••••• C•••• I••••••••• M••••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 152536SEC 801-71079IAPD
Latest filing Mar 17, 2016
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$153M
reported, Item 5.F
Discretionary
100%
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
1
$153M gross assets
History
5 filings and snapshots on the tape
RAUM$153M as of Mar 17, 2016
Mar 30, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2016
Mar 30, 20120 then
Employees (5.A)5 as of Mar 17, 2016
Mar 27, 20145 then
Private funds1 as of Mar 17, 2016
Mar 30, 20121 then
RAUM +5.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$76.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$153M, 2 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
  • 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)
  • 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
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$153M for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• C•••• T•• L••• F•••• L••Private Equity Fund$153M89Mar 27, 2015
      C•••••••• C•••• F••• I•no longer reportedHedge Fund$9.2M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• W••••••• J••• · Chief Compliance Officercontrol
        since 06/2010 · owns 25% to 50%
      • G••••• W••••••• C•••••• · Chief Investment Officercontrol
        since 06/2010 · owns 50% to 75%
      • C••••••• S•••••• · Chief Financial Officer
        since 12/2013 · owns 5% to 10%
      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 · 1 to 2
        Mar 27, 2015 to Mar 17, 2016
      • Assets in custody · $165M to $153M
        Mar 27, 2015 to Mar 17, 2016
      • Discretionary RAUM · $145M to $153M
        Mar 27, 2015 to Mar 17, 2016
      • RAUM · $145M to $153M
        Mar 27, 2015 to Mar 17, 2016
      • Discretionary RAUM · $165M to $145M
        Jul 17, 2014 to Mar 27, 2015
      • RAUM · $165M to $145M
        Jul 17, 2014 to Mar 27, 2015
      • Accounts · 5 to 1
        Mar 30, 2012 to Mar 27, 2014
      • Advisory employees · unset to 4.0
        Mar 30, 2012 to Mar 27, 2014
      • Advisory activities · 3 to 1
        Mar 30, 2012 to Mar 27, 2014
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Mar 27, 2014
      • Assets in custody · $47.3M to $165M
        Mar 30, 2012 to Mar 27, 2014
      • Employees · unset to 5.0
        Mar 30, 2012 to Mar 27, 2014
      • Financial planning clients · 0 to unset
        Mar 30, 2012 to Mar 27, 2014
      • Discretionary RAUM · $101M to $165M
        Mar 30, 2012 to Mar 27, 2014
      • RAUM · $101M to $165M
        Mar 30, 2012 to Mar 27, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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