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

R•••• T•••• I••••••••• M••••••••• C••••••• L•

Former SEC-registered adviserCharlotte, North CarolinaCRD 158513SEC 801-73990IAPD
Latest filing Jun 30, 2015
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
$477M
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
14
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$195M gross assets
History
10 filings and snapshots on the tape
RAUM$477M as of Mar 26, 2015
Mar 27, 2013$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Mar 27, 20130 then
Employees (5.A)14 as of Mar 26, 2015
Mar 27, 201311 then
Private funds2 as of Mar 26, 2015
Mar 27, 20139 then
RAUM -32% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2015; 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
$34.1MderivedRAUM 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
-32%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$140M, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$140M 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••• T•••• G••••• M•••• M••••• F•••• L••Hedge Fund$195M2Feb 14, 2012
      R•••• T•••• I••••••• R••• F•••• L••Hedge Fund$127M5Feb 14, 2012
      R•••• T•••• I••••••• R••• M••••• F•••• L••Hedge Fund$96.6M2Feb 14, 2012
      R•••• T•••• G••••• M•••• F•••• L•••Hedge Fund$92.1M3Feb 14, 2012
      R•••• T•••• I••••••• R••• F•••• L•Hedge Fund$15.8M10Feb 14, 2012
      R•••• T•••• G••••• M•••• F•••• L•Hedge Fund$5.9M3Feb 14, 2012
      R•••• T•••• I••••••• R••• F••• S•• L••Hedge Fund$471,4963Feb 14, 2012
      R•••• T•••• A•••• R••••••• I••••••••• F•••• L••no longer reportedHedge Fund$461,5021Feb 14, 2012
      R•••• T•••• G••••• M•••• I••••••••• F•••• L••no longer reportedHedge Fund$4,1021Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• I••• G••••• · Chief Executive Officer And Chief Investment Officercontrol
        since 05/2007 · owns less than 5%
      • K••••• M••••••• P••••• · Chief Compliance Officercontrol
        since 07/2011 · owns less than 5%
      • B••••••• I••• G••••• · Limited Partnercontrol
        since 05/2007 · owns 75% or more of S•• G••••• P•••••••• L•
      • B••••••• I••• G••••• · Managing Member And Shareownercontrol
        since 05/2007 · owns 75% or more of S•• G••••• P•••••••• L••
      Entity owners
      • S•• G••••• P•••••••• L•• · General Partner
        direct · owns less than 5%
      • S•• G••••• P•••••••• L•• · General Partner
        indirect · owns F of S•• G••••• P•••••••• L•
      • S•• G••••• P•••••••• L• · Limited Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • R•••• T•••• G••••• M•••• I••••••••• F•••• L•• ••••••• A•••••••
        banky
      • R•••• T•••• I••••••••• F••• G•• L•• ••••••• A•••••••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 2
        Mar 26, 2015 to Jun 30, 2015
      • Private funds · 2 to 1
        Mar 26, 2015 to Jun 30, 2015
      • Accounts · 15 to 14
        Dec 4, 2014 to Mar 26, 2015
      • BD registered reps · 0 to 1
        Dec 4, 2014 to Mar 26, 2015
      • Assets in custody · $230M to $140M
        Dec 4, 2014 to Mar 26, 2015
      • Financial planning clients · unset to 0
        Dec 4, 2014 to Mar 26, 2015
      • Private funds · 7 to 2
        Dec 4, 2014 to Mar 26, 2015
      • Discretionary RAUM · $701M to $477M
        Dec 4, 2014 to Mar 26, 2015
      • RAUM · $701M to $477M
        Dec 4, 2014 to Mar 26, 2015
      • Accounts · 3 to 15
        Mar 27, 2013 to Mar 31, 2014
      • Advisory employees · 5 to 7
        Mar 27, 2013 to Mar 31, 2014
      • Assets in custody · $282M to $230M
        Mar 27, 2013 to Mar 31, 2014
      • Employees · 11 to 14
        Mar 27, 2013 to Mar 31, 2014
      • Private funds · 9 to 7
        Mar 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $298M to $701M
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $298M to $701M
        Mar 27, 2013 to Mar 31, 2014
      • Accounts · 10 to 3
        Nov 20, 2012 to Mar 27, 2013
      • Assets in custody · unset to 282283000.0
        Nov 20, 2012 to Mar 27, 2013
      • Custody of client assets · false to true
        Nov 20, 2012 to Mar 27, 2013
      • Employees · 14 to 11
        Nov 20, 2012 to Mar 27, 2013
      • Discretionary RAUM · $638M to $298M
        Nov 20, 2012 to Mar 27, 2013
      • RAUM · $638M to $298M
        Nov 20, 2012 to Mar 27, 2013
      • Advisory employees · unset to 5.0
        Oct 4, 2012 to Nov 20, 2012
      • BD registered reps · unset to 0.0
        Oct 4, 2012 to Nov 20, 2012
      • Employees · unset to 14.0
        Oct 4, 2012 to Nov 20, 2012
      • State-registered IARs · unset to 0.0
        Oct 4, 2012 to Nov 20, 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