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.

Former SEC-registered adviser

A•••• C••••••• W••••• M••••••••• L••

Former SEC-registered adviserDurham, North CarolinaCRD 174978SEC 801-96322IAPD
Latest filing Mar 16, 2022
First filing on the tape Apr 30, 2015 · 26 filings
RAUM
$294M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$286M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$294M as of Mar 16, 2022
Jan 29, 2016$125M then
HNW client RAUM$269M as of Mar 16, 2022
Mar 19, 2018$133M then
State-registered IARs (5.B.3)3 as of Mar 16, 2022
Jan 29, 20163 then
Employees (5.A)6 as of Mar 16, 2022
Jan 29, 20164 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 2022; every figure names its basis
RAUM per advisor
$98.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$409,948derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$284MreportedItem 5.I
Custody
$105M, 108 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$269M91%
  • Individuals$16.8M5.7%
  • Corporations and businesses$8.2M2.8%
Individual clients
75reported
HNW clients
120reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
717reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$105M for 108 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• I••• J••••• F••••••• · Managing Partnercontrol
    since 05/2015 · owns 75% or more
  • D•••••• M•••••••• A••••• · Chief Compliance Officercontrol
    since 06/2015 · owns less than 5%
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 · 695 to 717
    Apr 22, 2021 to Mar 16, 2022
  • BD registered reps · 3 to 2
    Apr 22, 2021 to Mar 16, 2022
  • Corporate clients · unset to 1.0
    Apr 22, 2021 to Mar 16, 2022
  • HNW clients · 102 to 120
    Apr 22, 2021 to Mar 16, 2022
  • Individual clients · 101 to 75
    Apr 22, 2021 to Mar 16, 2022
  • Assets in custody · $81.1M to $105M
    Apr 22, 2021 to Mar 16, 2022
  • Employees · 5 to 6
    Apr 22, 2021 to Mar 16, 2022
  • Discretionary RAUM · $245M to $290M
    Apr 22, 2021 to Mar 16, 2022
  • HNW RAUM · $220M to $269M
    Apr 22, 2021 to Mar 16, 2022
  • Individual RAUM · $23.8M to $16.8M
    Apr 22, 2021 to Mar 16, 2022
  • Non-discretionary RAUM · $6.0M to $3.8M
    Apr 22, 2021 to Mar 16, 2022
  • RAUM · $251M to $294M
    Apr 22, 2021 to Mar 16, 2022
  • Accounts · 745 to 695
    Sep 25, 2020 to Mar 30, 2021
  • HNW clients · 97 to 102
    Sep 25, 2020 to Mar 30, 2021
  • Individual clients · 157 to 101
    Sep 25, 2020 to Mar 30, 2021
  • Assets in custody · $217M to $81.1M
    Sep 25, 2020 to Mar 30, 2021
  • Employees · 4 to 5
    Sep 25, 2020 to Mar 30, 2021
  • Discretionary RAUM · $206M to $245M
    Sep 25, 2020 to Mar 30, 2021
  • HNW RAUM · $189M to $220M
    Sep 25, 2020 to Mar 30, 2021
  • Individual RAUM · $32.1M to $23.8M
    Sep 25, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · $14.9M to $6.0M
    Sep 25, 2020 to Mar 30, 2021
  • RAUM · $221M to $251M
    Sep 25, 2020 to Mar 30, 2021
  • Accounts · 906 to 745
    Apr 30, 2019 to Mar 2, 2020
  • Advisory employees · 4 to 3
    Apr 30, 2019 to Mar 2, 2020
  • BD registered reps · 4 to 3
    Apr 30, 2019 to Mar 2, 2020
  • Charity clients · 1.0 to unset
    Apr 30, 2019 to Mar 2, 2020
  • HNW clients · 70 to 97
    Apr 30, 2019 to Mar 2, 2020
  • Individual clients · 188 to 157
    Apr 30, 2019 to Mar 2, 2020
  • Assets in custody · $5.4M to $217M
    Apr 30, 2019 to Mar 2, 2020
  • Employees · 5 to 4
    Apr 30, 2019 to Mar 2, 2020
  • Financial planning clients · 1-10 to 0
    Apr 30, 2019 to Mar 2, 2020
  • State-registered IARs · 4 to 3
    Apr 30, 2019 to Mar 2, 2020
  • Discretionary RAUM · $162M to $206M
    Apr 30, 2019 to Mar 2, 2020
  • HNW RAUM · $126M to $189M
    Apr 30, 2019 to Mar 2, 2020
  • Individual RAUM · $50.5M to $32.1M
    Apr 30, 2019 to Mar 2, 2020
  • Non-discretionary RAUM · $15.1M to $14.9M
    Apr 30, 2019 to Mar 2, 2020
  • RAUM · $177M to $221M
    Apr 30, 2019 to Mar 2, 2020
  • Accounts · 690 to 906
    Sep 12, 2018 to Mar 25, 2019
  • Charity clients · unset to 1.0
    Sep 12, 2018 to Mar 25, 2019
  • HNW clients · 98 to 70
    Sep 12, 2018 to Mar 25, 2019
Signals
9 dated events
  • D•••••• R• W•••••• left A•••• C••••••• W••••• M••••••••• L•• for A••••••• F••••••••• L••• (registered 2022-06-01)
    Jul 7, 2022 · Advisor changed firm · fact
  • M••••••• A••••• D••••• left A•••• C••••••• W••••• M••••••••• L•• for A••••••• F••••••••• L••• (registered 2022-06-01)
    Jul 7, 2022 · Advisor changed firm · fact
  • J•••• F••••••• C••••••• I•• left A•••• C••••••• W••••• M••••••••• L•• for A••••••• F••••••••• L••• (registered 2022-06-01)
    Jul 7, 2022 · Advisor changed firm · fact
  • A•••• C••••••• W••••• M••••••••• L••'s advisors moved to A••••••• F••••••••• L••• (Durham, NC): 3 of 3 registered, on the same day
    Jul 7, 2022 · Firm absorbed (people side) · derived
  • Dhue Roderick A•••• (Managing Member) no longer on Schedule A of A•••• C••••••• W••••• M••••••••• L•• (listed 2021-04-22, absent 2022-03-16)
    Mar 16, 2022 · Control person left · inference
  • K•••••••• M•••• E•••••• left A•••• C••••••• W••••• M••••••••• L•• for M••••••••• F•••••••• P•••••••• I••• (registered 2022-10-18)
    Jan 26, 2022 · Advisor changed firm · fact
  • Dhue Roderick A•••• (Managing Member) appeared on Schedule A of A•••• C••••••• W••••• M••••••••• L••
    Apr 22, 2021 · Control person joined · fact
  • Dhue Roderick A•••• (Managing Partner) no longer on Schedule A of A•••• C••••••• W••••• M••••••••• L•• (listed 2019-04-30, absent 2020-03-02)
    Mar 2, 2020 · Control person left · inference
  • A•••• C••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 30, 2015 · 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.
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