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•••••• I••••••••• A•••• M••••••••• L••

Former SEC-registered adviserNew Bern, North CarolinaCRD 157295SEC 801-72306IAPD
Latest filing Feb 4, 2013
First filing on the tape Dec 15, 2011 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: $12.5M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 4, 2013
Mar 15, 20120 then
Employees (5.A): 7
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 4, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••• J••••• M•••••• · Managing Member, President, Ceo & Chief Compliance Officercontrol
        since 10/2000 · owns 75% or more
      • B•••• N•••••• G••••••• · Managing Director
        since 06/2011 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Raleigh, NC
      • Wilmington, NC
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Mar 15, 2012 to Feb 4, 2013
      • Advisory employees · unset to 7.0
        Mar 15, 2012 to Feb 4, 2013
      • Advisory activities · 1 to 2
        Mar 15, 2012 to Feb 4, 2013
      • Employees · unset to 7.0
        Mar 15, 2012 to Feb 4, 2013
      • Insurance-licensed employees · 1 to 6
        Mar 15, 2012 to Feb 4, 2013
      • Discretionary RAUM · 12490762.0 to unset
        Mar 15, 2012 to Feb 4, 2013
      • Non-discretionary RAUM · 0.0 to unset
        Mar 15, 2012 to Feb 4, 2013
      • RAUM · 12490762.0 to unset
        Mar 15, 2012 to Feb 4, 2013
      • Accounts · 0 to 1
        Dec 15, 2011 to Mar 15, 2012
      • Insurance-licensed employees · unset to 1.0
        Dec 15, 2011 to Mar 15, 2012
      • Discretionary RAUM · $0 to $12.5M
        Dec 15, 2011 to Mar 15, 2012
      • RAUM · $0 to $12.5M
        Dec 15, 2011 to Mar 15, 2012
      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