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
C••••••• Q•••••••• R••••••••• P••• A•••••••• L••
Latest filing Feb 11, 2026
First filing on the tape Jun 24, 2020 · 10 filings
SEC status approved since Jul 27, 2020
RAUM
$444M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
2.2%
$10.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$444M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$444M as of Feb 11, 2026
Mar 1, 2021$305M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 11, 2026
Mar 1, 20211 then
Employees (5.A)1 as of Feb 11, 2026
Mar 1, 20211 then
Private funds: no history
RAUM +8.7% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $444MderivedRAUM 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
- $8.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$434M98%
- Individuals$10.0M2.2%
- Individual clients
- 7reported
- HNW clients
- n/areported
- Pension plan clients
- 38reported
- Charitable clients
- n/areported
- Accounts
- 52reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.98 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• W•••••• S•••••• | Wadmalaw Island, Sc | Jul 10, 2014 | 13 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E••••• W•••••• S•••••• from P••••••••Jul 10, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• E•••••• W•••••• · Principal And Chief Compliance Officercontrolsince 05/2014 · 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 · 48 to 52Feb 28, 2025 to Feb 11, 2026
- Pension plan clients · 41 to 38Feb 28, 2025 to Feb 11, 2026
- Discretionary RAUM · $358M to $391MFeb 28, 2025 to Feb 11, 2026
- Individual RAUM · $8.6M to $10.0MFeb 28, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $51.0M to $53.2MFeb 28, 2025 to Feb 11, 2026
- Pension RAUM · $400M to $434MFeb 28, 2025 to Feb 11, 2026
- RAUM · $409M to $444MFeb 28, 2025 to Feb 11, 2026
- Accounts · 49 to 48Dec 10, 2024 to Feb 28, 2025
- Individual clients · 6 to 7Dec 10, 2024 to Feb 28, 2025
- Pension plan clients · 38 to 41Dec 10, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Dec 10, 2024 to Feb 28, 2025
- HQ city · unset to Dec 10, 2024 to Feb 28, 2025
- HQ state · unset to Dec 10, 2024 to Feb 28, 2025
- Discretionary RAUM · $306M to $358MDec 10, 2024 to Feb 28, 2025
- Individual RAUM · $7.3M to $8.6MDec 10, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $48.1M to $51.0MDec 10, 2024 to Feb 28, 2025
- Pension RAUM · $346M to $400MDec 10, 2024 to Feb 28, 2025
- RAUM · $354M to $409MDec 10, 2024 to Feb 28, 2025
- Accounts · 41 to 49Feb 17, 2023 to Feb 16, 2024
- Individual clients · 5 to 6Feb 17, 2023 to Feb 16, 2024
- Pension plan clients · 36 to 38Feb 17, 2023 to Feb 16, 2024
- Discretionary RAUM · $270M to $306MFeb 17, 2023 to Feb 16, 2024
- Individual RAUM · $5.3M to $7.3MFeb 17, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $45.1M to $48.1MFeb 17, 2023 to Feb 16, 2024
- Pension RAUM · $310M to $346MFeb 17, 2023 to Feb 16, 2024
- RAUM · $315M to $354MFeb 17, 2023 to Feb 16, 2024
- Accounts · 45 to 41Feb 17, 2022 to Feb 17, 2023
- Individual clients · 8 to 5Feb 17, 2022 to Feb 17, 2023
- Pension plan clients · 37 to 36Feb 17, 2022 to Feb 17, 2023
- Discretionary RAUM · $324M to $270MFeb 17, 2022 to Feb 17, 2023
- Individual RAUM · $9.3M to $5.3MFeb 17, 2022 to Feb 17, 2023
- Non-discretionary RAUM · $59.9M to $45.1MFeb 17, 2022 to Feb 17, 2023
- Pension RAUM · $375M to $310MFeb 17, 2022 to Feb 17, 2023
- RAUM · $384M to $315MFeb 17, 2022 to Feb 17, 2023
- Accounts · 44 to 45Mar 1, 2021 to Feb 17, 2022
- Advisory activities · 2 to 3Mar 1, 2021 to Feb 17, 2022
- Individual clients · 7 to 8Mar 1, 2021 to Feb 17, 2022
- Pension plan clients · 33 to 37Mar 1, 2021 to Feb 17, 2022
- Discretionary RAUM · $252M to $324MMar 1, 2021 to Feb 17, 2022
- Individual RAUM · $8.2M to $9.3MMar 1, 2021 to Feb 17, 2022
Signals
1 dated events
- C••••••• Q•••••••• R••••••••• P••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 24, 2020 · First SEC registration · 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
- Website
- C•••••••401K.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-209-9230reportedpublic record, Form ADV, Feb 11, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $444Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026