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

C••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 166301SEC 801-77467IAPD
Latest filing Mar 23, 2021
First filing on the tape Dec 7, 2012 · 18 filings
RAUM
$347M
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
22
21 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
$18.6M gross assets
History
18 filings and snapshots on the tape
RAUM$347M as of Mar 23, 2021
Mar 28, 2014$584M then
HNW client RAUM$0 as of Mar 23, 2021
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Mar 28, 20140 then
Employees (5.A)22 as of Mar 23, 2021
Mar 28, 201413 then
Private funds1 as of Mar 23, 2021
Mar 28, 20143 then
RAUM -23% over the last fiscal year-15% a year over threeIARs 0 to 0offices 6 to 4
Practice profile
derived from the filing of Mar 23, 2021; 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
$173MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-23%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, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$18.6M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• S••• F••• I•• L•••no longer reportedOther Private Fund$23.0M102Dec 7, 2012
      C••••••••• P••••••• F••• I••• L•••no longer reportedPrivate Equity Fund$22.8M97Feb 16, 2012
      C••••••••• P••••••• F•••••• S•••••• F••• I• L•no longer reportedPrivate Equity Fund$1.8M2Feb 16, 2012
      C••••• C•••••• L••no longer reportedPrivate Equity Fund$1.3M3Feb 16, 2012
      C••••••••• P••••••• F••• I• L•••••• P•••••••••no longer reportedPrivate Equity Fund$582,69333Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J•••••• B•••• · Elected Manager/President/Ceocontrol
        since 10/1999 · owns less than 5%
      • A•••••• S•••• · Chief Operating Officercontrol
        since 10/2019 · owns less than 5%
      • B•••••••• M••••••• H••• · Partnercontrol
        since 10/1999 · owns less than 5%
      • K•••••• K••••• A••••• · Chief Compliance Officercontrol
        since 10/2019 · owns less than 5%
      • B•••••••• M••••••• H••• · Managercontrol
        since 12/2013 · owns F of A•••• C••••••• I••••••••• L••
      Entity owners
      • A•••• C••••••• I••••••••• L•• · Member
        direct · owns 75% or more
      • C••••••• T•••• · Owner
        indirect · owns 75% or more of A•••• C••••••• I••••••••• L••
      • M••••• • C•• •••••••• I••• · Member
        direct · owns 10% to 25%
      • M•• U•• H•••••••• I••• · Owner
        indirect · owns 75% or more of M••••• • C•• •••••••• I•••
      • M••••• • C•• L••• · Owner
        indirect · owns 75% or more of M•• U•• H•••••••• I•••
      Related persons
      Schedule D 7.A
      • C••••••• P•• V• L••
        pooled vehicle sponsorn
      • C••••••• P•••••• A•••••••• L••
        investment adviseryRAUM $505M
      • C••••••••• P••••••• F•••• L••
        pooled vehicle sponsorn
      • C••••••••• P••••••• F••••• L••
        pooled vehicle sponsorn
      • C••••••••• P••••••• S••• F••••• L••
        pooled vehicle sponsorn
      • C••••••••• S••• F•••• L••
        pooled vehicle sponsorn
      Advisers that list C••••••• I••••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Atlanta, GA1 employees
      • Chapel Hill, NC1 employees
      • New York, NY1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 29 to 21
        Mar 31, 2020 to Mar 23, 2021
      • Employees · 31 to 22
        Mar 31, 2020 to Mar 23, 2021
      • Other offices · 6 to 4
        Mar 31, 2020 to Mar 23, 2021
      • Discretionary RAUM · $449M to $347M
        Mar 31, 2020 to Mar 23, 2021
      • Pooled vehicle RAUM · $21.3M to $18.6M
        Mar 31, 2020 to Mar 23, 2021
      • RAUM · $449M to $347M
        Mar 31, 2020 to Mar 23, 2021
      • Advisory employees · 26 to 29
        Nov 7, 2019 to Mar 31, 2020
      • Employees · 26 to 31
        Nov 7, 2019 to Mar 31, 2020
      • Discretionary RAUM · $516M to $449M
        Nov 7, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $22.8M to $21.3M
        Nov 7, 2019 to Mar 31, 2020
      • RAUM · $516M to $449M
        Nov 7, 2019 to Mar 31, 2020
      • Advisory employees · 24 to 26
        Mar 30, 2018 to Apr 9, 2019
      • Employees · 24 to 26
        Mar 30, 2018 to Apr 9, 2019
      • Other offices · 4 to 6
        Mar 30, 2018 to Apr 9, 2019
      • Discretionary RAUM · $557M to $516M
        Mar 30, 2018 to Apr 9, 2019
      • RAUM · $557M to $516M
        Mar 30, 2018 to Apr 9, 2019
      • Advisory employees · 21 to 24
        May 16, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        May 16, 2017 to Mar 30, 2018
      • Employees · 22 to 24
        May 16, 2017 to Mar 30, 2018
      • Other offices · unset to 4.0
        May 16, 2017 to Mar 30, 2018
      • Discretionary RAUM · $607M to $557M
        May 16, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        May 16, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 22802000.0
        May 16, 2017 to Mar 30, 2018
      • RAUM · $607M to $557M
        May 16, 2017 to Mar 30, 2018
      • Advisory employees · 19 to 21
        Oct 11, 2016 to Mar 31, 2017
      • Employees · 19 to 22
        Oct 11, 2016 to Mar 31, 2017
      • Discretionary RAUM · $641M to $607M
        Oct 11, 2016 to Mar 31, 2017
      • RAUM · $641M to $607M
        Oct 11, 2016 to Mar 31, 2017
      • Accounts · 3 to 2
        Mar 30, 2016 to Oct 11, 2016
      • Advisory employees · 20 to 19
        Mar 30, 2016 to Oct 11, 2016
      • Employees · 21 to 19
        Mar 30, 2016 to Oct 11, 2016
      • Private funds · 2 to 1
        Mar 30, 2016 to Oct 11, 2016
      • Discretionary RAUM · $627M to $641M
        Mar 30, 2016 to Oct 11, 2016
      Signals
      4 dated events
      • Francis John Mcglinn (Chief Operating Officer) no longer on Schedule A of C••••••• I••••••••• A•••••••• L•• (listed 2019-04-09, absent 2019-11-07)
        Nov 7, 2019 · Control person left · inference
      • Andrew Kevin Koonts (Chief Compliance Officer) appeared on Schedule A of C••••••• I••••••••• A•••••••• L••
        Nov 7, 2019 · Control person joined · fact
      • Steve Arnall (Chief Operating Officer) appeared on Schedule A of C••••••• I••••••••• A•••••••• L••
        Nov 7, 2019 · Control person joined · fact
      • C••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 7, 2012 · First SEC registration · fact
      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