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

P•••••• H••••••••• I•••

Former SEC-registered adviserCharlotte, North CarolinaCRD 157157SEC 801-74323IAPD
Latest filing Mar 28, 2013
First filing on the tape Feb 16, 2012 · 3 filings
RAUM
$384M
reported, Item 5.F
Discretionary
99%
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
15
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$624M gross assets
History
3 filings and snapshots on the tape
RAUM$384M as of Mar 28, 2013
Feb 16, 2012$375M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 15
Private funds6 as of Mar 28, 2013
Feb 16, 20126 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
$64.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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••••••••• P••••••• S••• F••• I•• L•Other Private Fund$240M99Feb 16, 2012
      C••••••••• P••••••• F••• I• L•••••• P•••••••••Other Private Fund$99.4M66Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J•••••• B•••• · Pres•••Nt/Ceocontrol
        since 10/1999 · owns 75% or more
      • B•••••••• M••••••• H••• · Partnercontrol
        since 10/1999 · owns less than 5%
      • M••••••• J•••• F•••••• · Chief Operating Officercontrol
        since 07/2009 · owns less than 5%
      • M•••• M••••••• S•••••• · Chief Compliance Officer
        since 07/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••• I••••••••• A•••••••• L••
        investment advisernRAUM $347M
      • C••••••••• P••••••• F•••• L••
        pooled vehicle sponsorn
      • C••••••••• P••••••• F••••• L••
        pooled vehicle sponsorn
      • C••••••••• P••••••• L••
        pooled vehicle sponsorn
      • C••••••••• P••••••• S••• F••••• L••
        pooled vehicle sponsorn
      • C••••••••• S••• F•••• L••
        pooled vehicle sponsorn
      • C•• I••••••••• S••• C•• F••• I• L••
        pooled vehicle sponsorn
      • C••••••••• M•••••••• F••• I• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Atlanta, GA
      • Louisville, KY
      • Orlando, FL
      • Raleigh, NC
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 15.0
        Mar 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 14, 2012 to Mar 28, 2013
      • Employees · unset to 15.0
        Mar 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $373M to $382M
        Mar 14, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $2.6M to $2.6M
        Mar 14, 2012 to Mar 28, 2013
      • RAUM · $375M to $384M
        Mar 14, 2012 to Mar 28, 2013
      • Related adviser · false to true
        Mar 14, 2012 to Mar 28, 2013
      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