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

2• C•••••• P•••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 158449SEC 801-72665IAPD
Latest filing Oct 11, 2024
First filing on the tape Jan 5, 2012 · 25 filings
RAUM
$401M
reported, Item 5.F
Discretionary
44%
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$176M gross assets
History
25 filings and snapshots on the tape
RAUM$401M as of Mar 28, 2024
Feb 29, 2012$387M then
HNW client RAUM$0 as of Mar 28, 2024
Mar 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Feb 29, 20120 then
Employees (5.A)9 as of Mar 28, 2024
Mar 25, 201310 then
Private funds1 as of Mar 28, 2024
Mar 25, 20133 then
RAUM -5.4% over the last fiscal year-8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 11, 2024; 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
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
44%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
-5.4%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 vehicles, otherreportedItem 5.G
Custody
$176M, 1 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)
  • 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
  • Corporations and businesses$225M56%
  • Pooled investment vehicles$176M44%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$176M for 1 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      2• C•••••• R••••••••• M••••••• O••••••••• M••••• F•••• L••Private Equity Fund$176M14Mar 25, 2013
      2• C•••••• R••••••••• M••••••• O••••••••• M••••• C• L••no longer reportedPrivate Equity Fund$040Mar 25, 2013
      2• C•••••• R••••••••• M••••••• O••••••••• M••••• B• L••no longer reportedPrivate Equity Fund$040Mar 25, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• S••••• N•• · President/Director Of Managing Member/Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      • B••••••• N•••••••• J• · Director Of Managing Membercontrol
        since 03/2017 · owns less than 5%
      • S•••••• M••••••• S•••• · Head Of Sales & Tradingcontrol
        since 06/2011 · owns less than 5%
      • T••••••• R•••••• H••••••• · Director Of Managing Membercontrol
        since 09/2012 · owns less than 5%
      Entity owners
      • 2• C•••••• H•••••••• I••• · Managing Member
        direct · owns 75% or more
      • A••••• B•• L••• · Trustee Of S••••• T••••
        indirect · owns 75% or more of S••••• T••••
      • S••••• H•••••••• I••• · Shareholder
        indirect · owns 75% or more of 2• C•••••• H•••••••• I•••
      • S••••• T•••• · Shareholder
        indirect · owns 75% or more of S••••• H•••••••• I•••
      • G•• N•••••• L•••••• · N•••••• For S••••• T••••
        indirect · owns 75% or more of S••••• H•••••••• I•••
      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 · 5 to 4
        Mar 28, 2023 to Mar 28, 2024
      • Assets in custody · $193M to $176M
        Mar 28, 2023 to Mar 28, 2024
      • Discretionary RAUM · $193M to $176M
        Mar 28, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $231M to $225M
        Mar 28, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $193M to $176M
        Mar 28, 2023 to Mar 28, 2024
      • RAUM · $424M to $401M
        Mar 28, 2023 to Mar 28, 2024
      • Advisory employees · 7 to 6
        Mar 25, 2022 to Mar 28, 2023
      • Advisory activities · 3 to 2
        Mar 25, 2022 to Mar 28, 2023
      • Assets in custody · $199M to $193M
        Mar 25, 2022 to Mar 28, 2023
      • Discretionary RAUM · $199M to $193M
        Mar 25, 2022 to Mar 28, 2023
      • Non-discretionary RAUM · $237M to $231M
        Mar 25, 2022 to Mar 28, 2023
      • Pooled vehicle RAUM · $199M to $193M
        Mar 25, 2022 to Mar 28, 2023
      • RAUM · $436M to $424M
        Mar 25, 2022 to Mar 28, 2023
      • Accounts · 4 to 5
        Mar 31, 2021 to Mar 25, 2022
      • Assets in custody · $288M to $199M
        Mar 31, 2021 to Mar 25, 2022
      • Employees · 10 to 9
        Mar 31, 2021 to Mar 25, 2022
      • Discretionary RAUM · $288M to $199M
        Mar 31, 2021 to Mar 25, 2022
      • Non-discretionary RAUM · $239M to $237M
        Mar 31, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $288M to $199M
        Mar 31, 2021 to Mar 25, 2022
      • RAUM · $526M to $436M
        Mar 31, 2021 to Mar 25, 2022
      • Advisory employees · 9 to 7
        Mar 23, 2020 to Mar 31, 2021
      • Assets in custody · $564M to $288M
        Mar 23, 2020 to Mar 31, 2021
      • Employees · 13 to 10
        Mar 23, 2020 to Mar 31, 2021
      • Discretionary RAUM · $351M to $288M
        Mar 23, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $213M to $239M
        Mar 23, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $351M to $288M
        Mar 23, 2020 to Mar 31, 2021
      • RAUM · $564M to $526M
        Mar 23, 2020 to Mar 31, 2021
      • Advisory employees · 10 to 9
        Mar 22, 2019 to Mar 23, 2020
      • Assets in custody · $208M to $564M
        Mar 22, 2019 to Mar 23, 2020
      • Employees · 15 to 13
        Mar 22, 2019 to Mar 23, 2020
      • Other offices · 1 to 0
        Mar 22, 2019 to Mar 23, 2020
      • Discretionary RAUM · $156M to $351M
        Mar 22, 2019 to Mar 23, 2020
      • Non-discretionary RAUM · $51.6M to $213M
        Mar 22, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $156M to $351M
        Mar 22, 2019 to Mar 23, 2020
      • RAUM · $208M to $564M
        Mar 22, 2019 to Mar 23, 2020
      • Advisory employees · 9 to 10
        Nov 26, 2018 to Mar 22, 2019
      • Assets in custody · $218M to $208M
        Nov 26, 2018 to Mar 22, 2019
      • Employees · 13 to 15
        Nov 26, 2018 to Mar 22, 2019
      • Discretionary RAUM · $164M to $156M
        Nov 26, 2018 to Mar 22, 2019
      • Non-discretionary RAUM · $53.7M to $51.6M
        Nov 26, 2018 to Mar 22, 2019
      Signals
      2 dated events
      • H Adam Cyrus (Director Of Managing Member) no longer on Schedule A of 2• C•••••• P•••••••• L•• (listed 2024-03-28, absent 2024-10-11)
        Oct 11, 2024 · Control person left · inference
      • 2• C•••••• P•••••••• L•• reported RAUM $564.0M, up 172% from $207.6M (2019-03-22 to 2020-03-23)
        Mar 23, 2020 · RAUM change · derived
      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