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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SEC-registered adviser
C••••••• I••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Jun 15, 2011
RAUM
$322M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$291M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$322M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$322M as of Mar 24, 2026
Mar 30, 2012$62.5M then
HNW client RAUM$222M as of Mar 24, 2026
Mar 29, 2018$128M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Mar 24, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $322MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 171derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $549,373derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M69%
- Individuals$69.3M22%
- Charitable organizations$27.4M8.5%
- Corporations and businesses$3.7M1.2%
- Individual clients
- 133reported
- HNW clients
- 38reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 587reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• R•••• P••••••Certified Financial Planner | Daniel Island, Sc | Jan 10, 2012 | 24 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C•••• W•••••• P••• to L••••• L••• P•••••••• L•Mar 20, 2019 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• S•••••• R•••• · Managing Member, President, Chief Compliance Officercontrolsince 05/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Daniel Island, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 549 to 587Mar 27, 2025 to Mar 24, 2026
- Corporate clients · 3 to 2Mar 27, 2025 to Mar 24, 2026
- HNW clients · 37 to 38Mar 27, 2025 to Mar 24, 2026
- Individual clients · 122 to 133Mar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $285M to $322MMar 27, 2025 to Mar 24, 2026
- HNW RAUM · $197M to $222MMar 27, 2025 to Mar 24, 2026
- Individual RAUM · $52.4M to $69.3MMar 27, 2025 to Mar 24, 2026
- Pension RAUM · unset to 0.0Mar 27, 2025 to Mar 24, 2026
- RAUM · $285M to $322MMar 27, 2025 to Mar 24, 2026
- Accounts · 546 to 549Mar 26, 2024 to Mar 27, 2025
- Corporate clients · 2 to 3Mar 26, 2024 to Mar 27, 2025
- Individual clients · 121 to 122Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 26-50Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $260M to $285MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $185M to $197MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $45.8M to $52.4MMar 26, 2024 to Mar 27, 2025
- RAUM · $260M to $285MMar 26, 2024 to Mar 27, 2025
- Accounts · 525 to 546Mar 16, 2023 to Mar 26, 2024
- Corporate clients · 3 to 2Mar 16, 2023 to Mar 26, 2024
- HNW clients · 36 to 37Mar 16, 2023 to Mar 26, 2024
- Individual clients · 117 to 121Mar 16, 2023 to Mar 26, 2024
- Discretionary RAUM · $228M to $260MMar 16, 2023 to Mar 26, 2024
- HNW RAUM · $163M to $185MMar 16, 2023 to Mar 26, 2024
- Individual RAUM · $37.0M to $45.8MMar 16, 2023 to Mar 26, 2024
- RAUM · $228M to $260MMar 16, 2023 to Mar 26, 2024
- Accounts · 492 to 525Apr 28, 2022 to Mar 16, 2023
- Corporate clients · 4 to 3Apr 28, 2022 to Mar 16, 2023
- Individual clients · 112 to 117Apr 28, 2022 to Mar 16, 2023
- Discretionary RAUM · $247M to $228MApr 28, 2022 to Mar 16, 2023
- HNW RAUM · $175M to $163MApr 28, 2022 to Mar 16, 2023
- Individual RAUM · $38.6M to $37.0MApr 28, 2022 to Mar 16, 2023
- RAUM · $247M to $228MApr 28, 2022 to Mar 16, 2023
- Accounts · 454 to 492Oct 5, 2021 to Mar 31, 2022
- Individual clients · 102 to 112Oct 5, 2021 to Mar 31, 2022
- Discretionary RAUM · $240M to $247MOct 5, 2021 to Mar 31, 2022
- HNW RAUM · $173M to $175MOct 5, 2021 to Mar 31, 2022
- Individual RAUM · $33.4M to $38.6MOct 5, 2021 to Mar 31, 2022
- RAUM · $240M to $247MOct 5, 2021 to Mar 31, 2022
- Accounts · 444 to 454Aug 14, 2020 to Mar 18, 2021
- HNW clients · 32 to 36Aug 14, 2020 to Mar 18, 2021
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.
How to reach
public business contact points only, each with its source
- Website
- C•••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 510-6693reportedpublic record, Form ADV, Mar 24, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $322Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026