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

B••• C••• A•••••••• L••

Former SEC-registered adviserDurham, North CarolinaCRD 162049SEC 801-74563IAPD
Latest filing Jun 29, 2020
First filing on the tape Mar 9, 2012 · 18 filings
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$119M as of Feb 25, 2020
Jan 29, 2013$119M then
HNW client RAUM$114M as of Feb 25, 2020
Mar 2, 2018$146M then
State-registered IARs (5.B.3)1 as of Feb 25, 2020
Jan 29, 20131 then
Employees (5.A)3 as of Feb 25, 2020
Jan 29, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year-4.7% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
RAUM per advisor
$119MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.6%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$2.9M, 7 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$114M96%
  • Individuals$5.0M4.2%
Individual clients
17reported
HNW clients
37reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
54reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$2.9M for 7 clientsreported
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
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
    • C•••••• S••••• M••••••• · Managing Member, Chief Compliance Officercontrol
      since 10/2012 · owns 75% or more
    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 · 56 to 54
      Mar 5, 2019 to Feb 25, 2020
    • HNW clients · 39 to 37
      Mar 5, 2019 to Feb 25, 2020
    • Assets in custody · $8.0M to $2.9M
      Mar 5, 2019 to Feb 25, 2020
    • Other offices · 1 to 0
      Mar 5, 2019 to Feb 25, 2020
    • Discretionary RAUM · $106M to $119M
      Mar 5, 2019 to Feb 25, 2020
    • HNW RAUM · $100M to $114M
      Mar 5, 2019 to Feb 25, 2020
    • Individual RAUM · $5.3M to $5.0M
      Mar 5, 2019 to Feb 25, 2020
    • RAUM · $106M to $119M
      Mar 5, 2019 to Feb 25, 2020
    • Accounts · 61 to 56
      Nov 14, 2018 to Mar 5, 2019
    • Advisory employees · 2 to 1
      Nov 14, 2018 to Mar 5, 2019
    • HNW clients · 42 to 39
      Nov 14, 2018 to Mar 5, 2019
    • Individual clients · 19 to 17
      Nov 14, 2018 to Mar 5, 2019
    • Assets in custody · $36.8M to $8.0M
      Nov 14, 2018 to Mar 5, 2019
    • Employees · 4 to 3
      Nov 14, 2018 to Mar 5, 2019
    • State-registered IARs · 2 to 1
      Nov 14, 2018 to Mar 5, 2019
    • Discretionary RAUM · $154M to $106M
      Nov 14, 2018 to Mar 5, 2019
    • HNW RAUM · $146M to $100M
      Nov 14, 2018 to Mar 5, 2019
    • Individual RAUM · $7.8M to $5.3M
      Nov 14, 2018 to Mar 5, 2019
    • RAUM · $154M to $106M
      Nov 14, 2018 to Mar 5, 2019
    • HNW clients · unset to 42.0
      Feb 8, 2017 to Mar 2, 2018
    • Individual clients · unset to 19.0
      Feb 8, 2017 to Mar 2, 2018
    • Assets in custody · $21.0M to $36.8M
      Feb 8, 2017 to Mar 2, 2018
    • Financial planning clients · 26-50 to 51-100
      Feb 8, 2017 to Mar 2, 2018
    • Other offices · unset to 1.0
      Feb 8, 2017 to Mar 2, 2018
    • Discretionary RAUM · $137M to $154M
      Feb 8, 2017 to Mar 2, 2018
    • HNW RAUM · unset to 146183989.0
      Feb 8, 2017 to Mar 2, 2018
    • Individual RAUM · unset to 7776353.0
      Feb 8, 2017 to Mar 2, 2018
    • RAUM · $137M to $154M
      Feb 8, 2017 to Mar 2, 2018
    • Assets in custody · $19.8M to $21.0M
      Jan 27, 2016 to Feb 8, 2017
    • State-registered IARs · 1 to 2
      Jan 27, 2016 to Feb 8, 2017
    • Discretionary RAUM · $123M to $137M
      Jan 27, 2016 to Feb 8, 2017
    • RAUM · $123M to $137M
      Jan 27, 2016 to Feb 8, 2017
    • Accounts · 58 to 61
      Jan 28, 2015 to Jan 27, 2016
    • Assets in custody · $23.2M to $19.8M
      Jan 28, 2015 to Jan 27, 2016
    • Discretionary RAUM · $134M to $123M
      Jan 28, 2015 to Jan 27, 2016
    • RAUM · $134M to $123M
      Jan 28, 2015 to Jan 27, 2016
    • Accounts · 56 to 58
      Jan 21, 2014 to Jan 28, 2015
    • Advisory employees · 1 to 2
      Jan 21, 2014 to Jan 28, 2015
    • Assets in custody · $21.5M to $23.2M
      Jan 21, 2014 to Jan 28, 2015
    • Employees · 3 to 4
      Jan 21, 2014 to Jan 28, 2015
    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