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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••• P•••••• C•••••• M••••••••• L••
Latest filing Jul 1, 2026
First filing on the tape Feb 8, 2013 · 58 filings
SEC status approved since Feb 28, 2013
RAUM
$5.0B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
17%
$839M individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
38
27 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$5.0B as of Jul 1, 2026
Mar 24, 2014$272M then
HNW client RAUM$667M as of Jul 1, 2026
Feb 16, 2018$897M then
State-registered IARs (5.B.3)27 as of Jul 1, 2026
Mar 24, 20144 then
Employees (5.A)38 as of Jul 1, 2026
Mar 24, 20149 then
Private funds: no history
RAUM +222% over the last fiscal year+49% a year over threeIARs 13 to 27offices 4 to 10
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.6derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +222%derivedbetween the last two annual amendments
- Advisor growth, one year
- +108%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $340M, 369 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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 acts as qualified custodian (9.D.2)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$3.3B66%
- High-net-worth individuals$667M13%
- Pension and profit-sharing plans$572M12%
- Individuals$172M3.5%
- Charitable organizations$159M3.2%
- Corporations and businesses$59.3M1.2%
- State and municipal entities$35.5M0.7%
- Insurance companies$22.7M0.5%
- Other investment advisers$1.8M0.0%
- Individual clients
- 346reported
- HNW clients
- 219reported
- Pension plan clients
- 91reported
- Charitable clients
- 33reported
- Accounts
- 1,583reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $340M for 369 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.17 fund_share=0.0 institutional_share=0.16 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••• R•••••• A••••• F••Chartered Financial Analyst | Denver, Co | Jun 5, 2014 | 14 y | 0 |
| D•••••• E••••• L••••Certified Financial Planner, Chartered Financial Consultant | Columbia, Sc | Mar 27, 2018 | 33 y | 3 |
| P•••• K••••••Certified Financial Planner, Chartered Financial Analyst | Columbia, Sc | Oct 20, 2020 | 26 y | 1 |
| S••••• I• O••••••Certified Financial Planner | Dallas, Tx | Apr 5, 2021 | 15 y | 4 |
| S•••• H•••••Certified Financial Planner | Denver, Co | Jun 23, 2025 | 20 y | 2 |
| J••••• D•••• F•••••Certified Financial Planner | Richmond, Va | Jun 23, 2025 | 22 y | 5 |
| S••••• F• W•••••••Chartered Financial Analyst | Daniel Island, Sc | Jun 24, 2025 | 18 y | 4 |
| D•••• S••••• M•••••Certified Financial Planner, Chartered Financial Consultant | Asheville, Nc | Jun 24, 2025 | 30 y | 3 |
| K••• B••••• D••••Certified Financial Planner | Savannah, Ga | Jun 24, 2025 | 12 y | 1 |
| C••••••••• J••• F•••Certified Financial Planner | Denver, Co | Aug 27, 2025 | 12 y | 4 |
| J•••• M•••• R•••• | Denver, Co | Nov 17, 2025 | 11 y | 1 |
| J••••• T•••••• K•••••• | Birmingham, Al | Jan 4, 2026 | 21 y | 2 |
| B•••• A••• B•••••Certified Financial Planner | Greenville, Sc | Jan 4, 2026 | 25 y | 3 |
| J••••••• A••••• T•••••••Certified Financial Planner, Chartered Financial Consultant | Hilton Head Island, Sc | Jan 4, 2026 | 24 y | 5 |
| J•• P•••• A••••• | Charleston, Sc | Jan 4, 2026 | 22 y | 2 |
| E•••• E••• | Columbia, Sc | Jan 4, 2026 | 11 y | 1 |
| M••••• C•••••••• M•••••••••Chartered Financial Analyst | Charleston, Sc | Jan 4, 2026 | 11 y | 2 |
| D•••• M••••• K•••••••••Certified Financial Planner | Columbia, Sc | Jan 4, 2026 | 12 y | 2 |
| M•••••• C••••• D•• | Greenville, Sc | Jan 4, 2026 | 12 y | 1 |
| M••••• F••••••• S•••••• | Spartanburg, Sc | Jan 4, 2026 | 16 y | 1 |
| W•••••• H••••• B••••••Certified Financial Planner | Daniel Island, Sc | Jan 4, 2026 | 13 y | 1 |
| R••••• B•••••• F•••••••••Chartered Financial Analyst | Richmond, Va | Jan 6, 2026 | 35 y | 2 |
| W•••••• L•••• B••••• | Atlanta, Ga | Jan 6, 2026 | 29 y | 2 |
| R•••• S•••• R•••••• | Appling, Ga | Jan 23, 2026 | 30 y | 2 |
| R•••••• L•••• P••• | Savannah, Ga | Mar 17, 2026 | 19 y | 2 |
| J•••• E••••• R••••• | Denver, Co | Mar 26, 2026 | 21 y | 1 |
| E••• J•••• W••••• | Pensacola, Fl | May 4, 2026 | 15 y | 0 |
| A•••• A•••••••• M••••Certified Financial Planner | Dallas, Tx | May 27, 2026 | 12 y | 2 |
| A•••• B••••••• J••••••Certified Financial Planner, Chartered Financial Consultant | Columbia, Sc | Jul 23, 2026 | 18 y | 4 |
Advisor movement
1 left, 19 joined in 12 months
net +18 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 3.4% of current headcount11 left over 36 months
Left, latest
- S••• A••••••• J•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 26, 2026 · Other
- D•••• J••••••• D•••••• to L•••Aug 11, 2025 · RIA to RIA
- K•••• B• M••••••• to I••••••••• P•••••••Jun 20, 2025 · RIA to RIA
- G••• A••••• W••••• to C••••••• W••••• A••••••• L••Jun 17, 2025 · RIA to RIA
- A•• L••• W•••••••• to C••••••• W••••• A••••••• L••Jun 17, 2025 · RIA to RIA
- R••••• M•••• M•••••• to C••••••• W••••• A••••••• L••Jun 17, 2025 · RIA to RIA
- C••••• J•••• S•••••• to C••••••• W••••• A••••••• L••Jun 16, 2025 · RIA to RIA
- M••••• D•••• I•• to C••••••• W••••• A••••••• L••Jun 16, 2025 · RIA to RIA
- J•••• M•••••• A••••••• to C••••••• W••••• A••••••• L••Apr 7, 2025 · RIA to RIA
- M••••••• C••••• K••••••• to C••••••• W••••• A••••••• L••Apr 7, 2025 · RIA to RIA
- J••••• R•••••• A•• to O•• C•••• W••••• P•••••••Jul 31, 2024 · RIA to a newly registered adviser
- R•••••• A••••• S••• to E••••• J••••Aug 14, 2023 · RIA to affiliated broker-dealer or bank
- B•••••• E••••• N••••• to L•••• H•••• W••••• M••••••••• L••Feb 22, 2023 · RIA to RIA
- A••• N•• B••• to D•• W••••• M•••••••••Sep 1, 2022 · RIA to RIA
- A•• L•• B••• to V•••••• P•••••• W••••• L••Jan 29, 2021 · RIA to a newly registered adviser
Joined, latest
- A•••• B••••••• J•••••• from S•••••• S••••••••• I•••Jul 23, 2026 · Other
- A•••• A•••••••• M•••• from W•••••• F•••••••• A••••••• G•••• L••May 27, 2026 · Other
- J•••• E••••• R••••• from W•••• F•••• A•••••••Mar 26, 2026 · Other
- R•••••• L•••• P••• from S••••••••• A•••••••• I•••Mar 17, 2026 · Other
- R•••• S•••• R•••••• from S••••••••• A•••••••• I•••Jan 23, 2026 · Other
- R••••• B•••••• F••••••••• from S••••••••• A•••••••• I•••Jan 6, 2026 · Other
- W•••••• L•••• B••••• from S••••••••• A•••••••• I•••Jan 6, 2026 · Other
- S••• A••••••• J•••••• from S••••••••• A•••••••• I•••Jan 6, 2026 · Other
- W•••••• H••••• B•••••• from S••••••••• A•••••••• I•••Jan 4, 2026 · Other
- B•••• A••• B••••• from S••••••••• A•••••••• I•••Jan 4, 2026 · Other
- J••••••• A••••• T••••••• from S••••••••• A•••••••• I•••Jan 4, 2026 · Other
- J•• P•••• A••••• from S••••••••• A•••••••• I•••Jan 4, 2026 · Other
- D•••• M••••• K••••••••• from S••••••••• A•••••••• I•••Jan 4, 2026 · Other
- M••••• F••••••• S•••••• from S••••••••• A•••••••• I•••Jan 4, 2026 · Other
- E•••• E••• from S••••••••• A•••••••• I•••Jan 4, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for C••••••• W••••• A••••••• L••Jun 16, 2025 · Columbia, Sc
- 2 left for C••••••• W••••• A••••••• L••Apr 7, 2025 · Columbia, Sc
- 4 joined from S••••••••• A•••••••• I•••Feb 27, 2026 · Savannah, Ga
- 11 joined from S••••••••• A•••••••• I•••Feb 27, 2026 · Columbia, Sc · Firm absorbed
- 6 joined from W••••• W••••• M••••••••• L••Mar 21, 2018 · Denver, Co · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• E••••••••• C• · Director Of Operationssince 03/2023 · owns less than 5%
- M••••• K••• E• · Chief Compliance Officersince 09/2024 · owns less than 5%
- M•••••••• K••••• B• · Co-President & Chief Investment Officersince 03/2023 · owns less than 5%
- S••••••• C•••••• J•••• · Co-President & Managing Directorsince 03/2023 · owns less than 5%
Entity owners
- I••••••••• B••• · Managing Memberdirect · owns 75% or more
- I••••••••• B••• G••••• I••• · Shareholderindirect · owns 75% or more of I••••••••• B••• · public reporting company
Related persons
Schedule D 7.A
- I••••••••• B•••y
Advisers that list S••••••••• P•••••• C•••••• M••••••••• L•• as a related person
- 171882 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbia, Sc · principal | 13 | 5 | 0 | ||
| Denver, Co | 7 | 2 | 0 | ||
| Daniel Island, Sc | 3 | 2 | 0 | ||
| Greenville, Sc | 2 | 2 | 0 | ||
| Richmond, Va | 2 | 1 | 1 | ||
| Atlanta, Ga | 2 | 2 | 0 | ||
| Savannah, Ga | 2 | 1 | 0 | ||
| C••••••Ton, Sc | 2 | 2 | 0 | ||
| Dallas, Tx | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boulder, CO1 employees
- Dallas, TX1 employees
- Longmont, CO1 employees
- Castle Pines, CO
ADV anomalies
11 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,537,495,942 to $4,956,973,083, advisors 13 to 27, private clients 814 to 565, offices 4 to 10 (2025-03-27 to 2026-02-27)peers: other advisers, $1B to $5B (247)
- growth on all axesCombination · filing Feb 27, 2026RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $1,537,495,942 to $4,956,973,083, advisors 13 to 27, private clients 814 to 565, offices 4 to 10 (2025-03-27 to 2026-02-27)peers: other advisers, $1B to $5B (247)
- wealth to institutional shiftCombination · filing Feb 27, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $1,537,495,942 to $4,956,973,083, advisors 13 to 27, private clients 814 to 565, offices 4 to 10 (2025-03-27 to 2026-02-27)peers: other advisers, $1B to $5B (247)
- account count collapseChange between filings · filing Feb 27, 2026accounts (Item 5.F.2.f) moved from 2,951.0 to 1,583.0 (-46.0%) between the annual amendments of 2025-03-27 and 2026-02-27; the peer median change was +1.0% (56 comparable advisers, 4.0th percentile of changes)peers: other advisers, $1B to $5B (56) · 3.6% percentile
- advisor count surgeChange between filings · filing Feb 27, 2026advisory representatives (Item 5.B.3) moved from 13.0 to 27.0 (+108.0%) between the annual amendments of 2025-03-27 and 2026-02-27; the peer median change was 0.0% (44 comparable advisers, 100.0th percentile of changes)peers: other advisers, $1B to $5B (44) · 100% percentile
- client mix shiftChange between filings · filing Feb 27, 2026private-client share of RAUM moved from 97.0% to 17.0% between the annual amendments of 2025-03-27 and 2026-02-27peers: other advisers, $1B to $5B (247)
- employee count surgeChange between filings · filing Feb 27, 2026employees (Item 5.A) moved from 22.0 to 38.0 (+73.0%) between the annual amendments of 2025-03-27 and 2026-02-27; the peer median change was 0.0% (152 comparable advisers, 99.0th percentile of changes)peers: other advisers, $1B to $5B (152) · 99% percentile
- HNW share shiftChange between filings · filing Feb 27, 2026HNW share of RAUM moved from 87.0% to 13.0% between the annual amendments of 2025-03-27 and 2026-02-27peers: other advisers, $1B to $5B (247)
- institutional asset share shiftChange between filings · filing Feb 27, 2026institutional share of RAUM moved from 3.0% to 83.0% between the annual amendments of 2025-03-27 and 2026-02-27peers: other advisers, $1B to $5B (247)
- office count surgeChange between filings · filing Feb 27, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 10.0 (+150.0%) between the annual amendments of 2025-03-27 and 2026-02-27; the peer median change was 0.0% (25 comparable advisers, 100.0th percentile of changes)peers: other advisers, $1B to $5B (25) · 100% percentile
- RAUM up 50 %Change between filings · filing Feb 27, 2026RAUM (Item 5.F) moved from $1,537,495,942 to $4,956,973,083 (+222.0%) between the annual amendments of 2025-03-27 and 2026-02-27; the peer median change was +11.0% (231 comparable advisers, 97.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 2,951 to 1,583Dec 26, 2025 to Jan 30, 2026
- Advisory employees · 25 to 27Dec 26, 2025 to Jan 30, 2026
- BD registered reps · 0 to 1Dec 26, 2025 to Jan 30, 2026
- Business name · P•••••• C•••••• M••••••••• L•• to S••••••••• P•••••• C•••••• M••••••••• L••Dec 26, 2025 to Jan 30, 2026
- Charity clients · 7 to 33Dec 26, 2025 to Jan 30, 2026
- Corporate clients · 11 to 23Dec 26, 2025 to Jan 30, 2026
- HNW clients · 490 to 219Dec 26, 2025 to Jan 30, 2026
- Individual clients · 324 to 346Dec 26, 2025 to Jan 30, 2026
- Pension plan clients · 0 to 91Dec 26, 2025 to Jan 30, 2026
- Assets in custody · $469M to $340MDec 26, 2025 to Jan 30, 2026
- Employees · 33 to 38Dec 26, 2025 to Jan 30, 2026
- Insurance-licensed employees · 0 to 1Dec 26, 2025 to Jan 30, 2026
- Financial planning clients · More than 500 to 251-500Dec 26, 2025 to Jan 30, 2026
- HQ city · DENVER to COLUMBIADec 26, 2025 to Jan 30, 2026
- HQ state · CO to SCDec 26, 2025 to Jan 30, 2026
- State-registered IARs · 25 to 27Dec 26, 2025 to Jan 30, 2026
- Legal name · P•••••• C•••••• M••••••••• L•• to S••••••••• P•••••• C•••••• M••••••••• L••Dec 26, 2025 to Jan 30, 2026
- Other offices · 9 to 10Dec 26, 2025 to Jan 30, 2026
- Discretionary RAUM · $1.5B to $4.4BDec 26, 2025 to Jan 30, 2026
- HNW RAUM · $1.3B to $667MDec 26, 2025 to Jan 30, 2026
- Individual RAUM · $159M to $172MDec 26, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $2.5M to $555MDec 26, 2025 to Jan 30, 2026
- Pension RAUM · $0 to $572MDec 26, 2025 to Jan 30, 2026
- RAUM · $1.5B to $5.0BDec 26, 2025 to Jan 30, 2026
- Advisory employees · 13 to 25Jun 24, 2025 to Dec 26, 2025
- Employees · 22 to 33Jun 24, 2025 to Dec 26, 2025
- State-registered IARs · 13 to 25Jun 24, 2025 to Dec 26, 2025
- Other offices · 4 to 9Jun 24, 2025 to Dec 26, 2025
- Financial planning clients · More than 500 to More than 500Mar 27, 2025 to Jun 24, 2025
- Accounts · 3,074 to 2,951Jan 31, 2025 to Mar 27, 2025
- Advisory employees · 15 to 13Jan 31, 2025 to Mar 27, 2025
- Charity clients · 8 to 7Jan 31, 2025 to Mar 27, 2025
- Corporate clients · 12 to 11Jan 31, 2025 to Mar 27, 2025
- HNW clients · 390 to 490Jan 31, 2025 to Mar 27, 2025
- Individual clients · 431 to 324Jan 31, 2025 to Mar 27, 2025
- Pension plan clients · 2 to 0Jan 31, 2025 to Mar 27, 2025
- Assets in custody · $585M to $469MJan 31, 2025 to Mar 27, 2025
- Employees · 26 to 22Jan 31, 2025 to Mar 27, 2025
- State-registered IARs · 15 to 13Jan 31, 2025 to Mar 27, 2025
- Discretionary RAUM · $1.7B to $1.5BJan 31, 2025 to Mar 27, 2025
Signals
28 dated events
- S••• A••••••• J•••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-08-24)Mar 26, 2026 · Advisor changed firm · fact
- 4 advisors left S••••••••• A•••••••• I••• (Savannah, GA) for S••••••••• P•••••• C•••••• M••••••••• L•• on the same dayFeb 27, 2026 · Team lift-out · derived
- S••••••••• A•••••••• I•••'s advisors moved to S••••••••• P•••••• C•••••• M••••••••• L•• (Columbia, SC): 11 of 17 registered, on the same dayFeb 27, 2026 · Firm absorbed (people side) · derived
- S••••••••• P•••••• C•••••• M••••••••• L•• reported RAUM $5.0B, up 222% from $1.5B (2025-12-26 to 2026-01-30)Jan 30, 2026 · RAUM change · derived
- S••••••••• P•••••• C•••••• M••••••••• L•• reported 9 offices beyond its principal office, up from 4 (2025-06-24 to 2025-12-26)Dec 26, 2025 · Office count change · derived
- S••••••••• P•••••• C•••••• M••••••••• L•• reported 25 state-registered advisory representatives, up from 13 (2025-06-24 to 2025-12-26)Dec 26, 2025 · Advisor headcount change · derived
- D•••• J••••••• D•••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for Lido (registered 2025-08-12)Aug 11, 2025 · Advisor changed firm · fact
- K•••• B• M••••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for I••••••••• P••••••• (registered 2025-06-16)Jun 20, 2025 · Advisor changed firm · fact
- A•• L••• W•••••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for C••••••• W••••• A••••••• L•• (registered 2025-06-17)Jun 17, 2025 · Advisor changed firm · fact
- G••• A••••• W••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for C••••••• W••••• A••••••• L•• (registered 2026-09-02)Jun 17, 2025 · Advisor changed firm · fact
- R••••• M•••• M•••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for C••••••• W••••• A••••••• L•• (registered 2025-06-13)Jun 17, 2025 · Advisor changed firm · fact
- M••••• D•••• I•• left S••••••••• P•••••• C•••••• M••••••••• L•• for C••••••• W••••• A••••••• L•• (registered 2025-06-09)Jun 16, 2025 · Advisor changed firm · fact
- C••••• J•••• S•••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for C••••••• W••••• A••••••• L•• (registered 2025-06-09)Jun 16, 2025 · Advisor changed firm · fact
- 5 advisors left S••••••••• P•••••• C•••••• M••••••••• L•• (Columbia, SC) for C••••••• W••••• A••••••• L•• a day apartJun 16, 2025 · Team lift-out · derived
- J•••• M•••••• A••••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for C••••••• W••••• A••••••• L•• (registered 2025-04-04)Apr 7, 2025 · Advisor changed firm · fact
- M••••••• C••••• K••••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for C••••••• W••••• A••••••• L•• (registered 2025-04-06)Apr 7, 2025 · Advisor changed firm · fact
- 2 advisors left S••••••••• P•••••• C•••••• M••••••••• L•• (Columbia, SC) for C••••••• W••••• A••••••• L•• on the same dayApr 7, 2025 · Team lift-out · derived
- R•••••• Justin Apt (President & Chief Compliance Officer) no longer on Schedule A of S••••••••• P•••••• C•••••• M••••••••• L•• (listed 2024-03-28, absent 2024-09-05)Sep 5, 2024 · Control person left · inference
- J••••• R•••••• A•• left S••••••••• P•••••• C•••••• M••••••••• L•• for O•• C•••• W••••• P••••••• (registered 2024-07-23)Jul 31, 2024 · Advisor changed firm · fact
- R•••••• A••••• S••• left S••••••••• P•••••• C•••••• M••••••••• L•• for E••••• J•••• (registered 2023-07-21)Aug 14, 2023 · Advisor changed firm · fact
- B•••••• E••••• N••••• left S••••••••• P•••••• C•••••• M••••••••• L•• for L•••• H•••• W••••• M••••••••• L•• (registered 2026-01-26)Feb 22, 2023 · Advisor changed firm · fact
- Robert Nathan Howard (Chief Compliance Officer And Operating Officer & Executive Committee Member) no longer on Schedule A of S••••••••• P•••••• C•••••• M••••••••• L•• (listed 2022-09-01, absent 2022-12-12)Dec 12, 2022 · Control person left · inference
- A••• N•• B••• left S••••••••• P•••••• C•••••• M••••••••• L•• for D•• W••••• M••••••••• (registered 2023-03-30)Sep 1, 2022 · Advisor changed firm · fact
- A••••• Gary Wagner (Managing Principal) no longer on Schedule A of S••••••••• P•••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Robert Nathan Howard (Chief Compliance Officer And Operating Officer) appeared on Schedule A of S••••••••• P•••••• C•••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
- Ann Julie Goodrum (Chief Operating Officer/Chief Compliance Officer) no longer on Schedule A of S••••••••• P•••••• C•••••• M••••••••• L•• (listed 2019-01-16, absent 2019-01-29)Jan 29, 2019 · Control person left · inference
- S••••••••• P•••••• C•••••• M••••••••• L•• reported RAUM $1.1B, up 113% from $535.5M (2017-12-01 to 2018-02-16)Feb 16, 2018 · RAUM change · derived
- G••••••• B••• A•• T•••• C•••••• filed its initial SEC registration (Form ADV)Feb 8, 2013 · ria f•••• adv filing · fact
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
- Firm profile
- linkedin.com/company/private-capital-managment-denver-colorareportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/south-state-bankreportedpublic record, Form ADV, Sep 18, 2026
- Website
- southstate401k.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 803-231-3492reportedpublic record, Form ADV, Jul 1, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026