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.

Former SEC-registered adviser

Mid-Atlantic Securities, Inc.

Former SEC-registered adviserRaleigh, North CarolinaCRD 18836SEC 801-112068IAPD
Latest filing Aug 3, 2022
First filing on the tape Jan 19, 2012 · 39 filings
RAUM
$380M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
93%
$352M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
20 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$380M as of Jan 31, 2022
Jan 20, 2012$52.4M then
HNW client RAUM$216M as of Jan 31, 2022
Feb 26, 2018$41.4M then
State-registered IARs (5.B.3)20 as of Jan 31, 2022
Jan 20, 20120 then
Employees (5.A)25 as of Jan 31, 2022
Feb 26, 201830 then
Private funds: no history
RAUM +43% over the last fiscal year+43% a year over threeIARs 15 to 20offices 6 to 7
Practice profile
derived from the filing of Aug 3, 2022; every figure names its basis
RAUM per advisor
$19.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$750,323derivedHNW RAUM over HNW clients
Average account
$400,634derivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.5derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+43%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+99%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
participatesreportedItem 5.I
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
  • High-net-worth individuals$216M57%
  • Individuals$136M36%
  • Pension and profit-sharing plans$15.9M4.2%
  • Corporations and businesses$11.6M3.0%
  • Charitable organizations$869,2390.2%
Individual clients
620reported
HNW clients
288reported
Pension plan clients
27reported
Charitable clients
n/areported
Accounts
949reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $331M managedreported
Custody of client assets
noreported
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
Left, latest
Joined, latest
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
    • James Bunyon Jr Glover · Secretary Treasurer, Pfo, Poo, Financial Operations Principal, Options Principalcontrol
      since 10/1986 · owns less than 5%
    • Charles Evant III Hunter · Vice Presidentcontrol
      since 12/1995 · owns less than 5%
    • John Frederick Nash · Ceo-Presidentcontrol
      since 10/1986 · owns less than 5%
    • Elizabeth Tayloe Powell · Chief Compliance Officercontrol
      since 02/2009 · owns less than 5%
    Entity owners
    • Carr Riggs & Ingram, LLC · Member
      indirect · owns 75% or more of Carr, Riggs & Ingram Capital, LLC
    • Carr, Riggs & Ingram Capital, LLC · Member
      indirect · owns 75% or more of Level Four Group, LLC
    • Level Four Group, LLC · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Great Neck, NY6 employees
    • Pinehurst, NC6 employees
    • Roanoke, VA3 employees
    • Culpepper, VA3 employees
    • , 1 employees
    • Williamsburg, VA1 employees
    • Charlottesville, VA1 employees
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Jan 31, 2022 to Aug 1, 2022
    • Related broker-dealer · false to true
      Jan 31, 2022 to Aug 1, 2022
    • Accounts · 751 to 949
      Jan 4, 2022 to Jan 31, 2022
    • Advisory employees · 15 to 20
      Jan 4, 2022 to Jan 31, 2022
    • BD registered reps · 14 to 20
      Jan 4, 2022 to Jan 31, 2022
    • Corporate clients · 0 to 12
      Jan 4, 2022 to Jan 31, 2022
    • HNW clients · 147 to 288
      Jan 4, 2022 to Jan 31, 2022
    • Individual clients · 309 to 620
      Jan 4, 2022 to Jan 31, 2022
    • Pension plan clients · 21 to 27
      Jan 4, 2022 to Jan 31, 2022
    • Financial planning clients · 0 to 1-10
      Jan 4, 2022 to Jan 31, 2022
    • State-registered IARs · 15 to 20
      Jan 4, 2022 to Jan 31, 2022
    • Discretionary RAUM · $119M to $208M
      Jan 4, 2022 to Jan 31, 2022
    • HNW RAUM · $155M to $216M
      Jan 4, 2022 to Jan 31, 2022
    • Individual RAUM · $97.3M to $136M
      Jan 4, 2022 to Jan 31, 2022
    • Non-discretionary RAUM · $146M to $172M
      Jan 4, 2022 to Jan 31, 2022
    • Pension RAUM · $11.9M to $15.9M
      Jan 4, 2022 to Jan 31, 2022
    • RAUM · $265M to $380M
      Jan 4, 2022 to Jan 31, 2022
    • Wrap assets (manager) · $220M to $331M
      Jan 4, 2022 to Jan 31, 2022
    • Other offices · 6 to 7
      Mar 29, 2021 to May 21, 2021
    • Related insurance company · false to true
      Mar 3, 2021 to Mar 29, 2021
    • Accounts · 604 to 751
      Feb 2, 2021 to Mar 3, 2021
    • Advisory employees · 20 to 15
      Feb 2, 2021 to Mar 3, 2021
    • BD registered reps · 25 to 14
      Feb 2, 2021 to Mar 3, 2021
    • Charity clients · 0.0 to unset
      Feb 2, 2021 to Mar 3, 2021
    • HNW clients · 88 to 147
      Feb 2, 2021 to Mar 3, 2021
    • Individual clients · 272 to 309
      Feb 2, 2021 to Mar 3, 2021
    • Pension plan clients · 18 to 21
      Feb 2, 2021 to Mar 3, 2021
    • Employees · 30 to 25
      Feb 2, 2021 to Mar 3, 2021
    • Financial planning clients · 1-10 to 0
      Feb 2, 2021 to Mar 3, 2021
    • State-registered IARs · 20 to 15
      Feb 2, 2021 to Mar 3, 2021
    • Discretionary RAUM · $95.7M to $119M
      Feb 2, 2021 to Mar 3, 2021
    • HNW RAUM · $96.6M to $155M
      Feb 2, 2021 to Mar 3, 2021
    • Individual RAUM · $84.7M to $97.3M
      Feb 2, 2021 to Mar 3, 2021
    • Non-discretionary RAUM · $98.7M to $146M
      Feb 2, 2021 to Mar 3, 2021
    • Pension RAUM · $8.7M to $11.9M
      Feb 2, 2021 to Mar 3, 2021
    • RAUM · $194M to $265M
      Feb 2, 2021 to Mar 3, 2021
    • Wrap assets (manager) · $154M to $220M
      Feb 2, 2021 to Mar 3, 2021
    • Accounts · 398 to 604
      Dec 13, 2019 to Mar 6, 2020
    • HNW clients · 37 to 88
      Dec 13, 2019 to Mar 6, 2020
    • Individual clients · 182 to 272
      Dec 13, 2019 to Mar 6, 2020
    Signals
    25 dated events
    • Charles Stewart Roberson left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2025-03-03)
      Oct 31, 2022 · Advisor changed firm · fact
    • John Bradford Miller left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Louis Paul Orgera left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Brian Joseph Early left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Noelle Granville Mcintyre left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Kenyon Lee Allman left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Rosilyn Hoffman Overton left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Wendy Sue Pauley left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
      Oct 31, 2022 · Advisor changed firm · fact
    • John Dominic Zaleski left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Glenn Frederick Verity left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
      Oct 31, 2022 · Advisor changed firm · fact
    • Thomas Patrick Walters left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • Charles Evant Hunter left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
      Oct 31, 2022 · Advisor changed firm · fact
    • Robert Donald Fraim left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-02)
      Oct 31, 2022 · Advisor changed firm · fact
    • Richard Todd Harrington left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-10)
      Oct 31, 2022 · Advisor changed firm · fact
    • James D Lee left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • James Bunyon Glover left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-11-17)
      Oct 31, 2022 · Advisor changed firm · fact
    • Cathy Lynn Poe left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-08-17)
      Oct 31, 2022 · Advisor changed firm · fact
    • Robert Murray Woronoff left Mid-Atlantic Securities, Inc. for Level Four Advisory Services (registered 2022-10-14)
      Oct 31, 2022 · Advisor changed firm · fact
    • 3 advisors left Mid-Atlantic Securities, Inc. (Great Neck, NY) for Level Four Advisory Services on the same day
      Oct 31, 2022 · Team lift-out · derived
    • 8 advisors left Mid-Atlantic Securities, Inc. (Roanoke, VA) for Level Four Advisory Services on the same day
      Oct 31, 2022 · Team lift-out · derived
    • 5 advisors left Mid-Atlantic Securities, Inc. (Raleigh, NC) for Level Four Advisory Services on the same day
      Oct 31, 2022 · Team lift-out · derived
    • Rosilyn Hoffman Overton (Partnership) no longer on Schedule A of Mid-Atlantic Securities, Inc. (listed 2022-01-31, absent 2022-08-01)
      Aug 1, 2022 · Control person left · inference
    • Donald Richard Brown (Partnership) no longer on Schedule A of Mid-Atlantic Securities, Inc. (listed 2022-01-31, absent 2022-08-01)
      Aug 1, 2022 · Control person left · inference
    • Mid-Atlantic Securities, Inc. reported RAUM $380.2M, up 43% from $265.0M (2022-01-04 to 2022-01-31)
      Jan 31, 2022 · RAUM change · derived
    • Mid-Atlantic Securities, Inc. filed its initial SEC registration (Form ADV)
      Oct 25, 2017 · 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