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

M••••• M•••••• F••••• O••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 281882SEC 801-107012IAPD
Latest filing Mar 30, 2018
First filing on the tape Nov 30, 2015 · 5 filings
RAUM
$909M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
83%
$758M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$909M as of Mar 30, 2018
Feb 24, 2016$661M then
HNW client RAUM: $758M
State-registered IARs (5.B.3)4 as of Mar 30, 2018
Feb 24, 20164 then
Employees (5.A)4 as of Mar 30, 2018
Feb 24, 20165 then
Private funds: no history
RAUM +83% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
$227MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$190MderivedHNW RAUM over HNW clients
Average account
$130MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+83%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
  • High-net-worth individuals$758M83%
  • Charitable organizations$151M17%
Individual clients
n/areported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
7reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• S•••••• B•••••• · Ccocontrol
        since 11/2015 · owns less than 5%
      • D••••••• D••••••• M•••• · Ceocontrol
        since 11/2015 · owns less than 5%
      • M•••••• L•••• R•••••••• · Managing Membercontrol
        since 11/2015 · owns less than 5%
      • D••••••• D••••••• M•••• · Ceocontrol
        since 09/2015 · owns 50% to 75% of R••••••• W••••• M•••••••••
      • M•••••• L•••• R•••••••• · Ceocontrol
        since 09/2015 · owns 75% or more of R•••••••• M••••• L••
      • R•••••••• M•••• A••••••• C•••• · Chairmancontrol
        since 09/2015 · owns 25% to 50% of R••••••• W••••• M•••••••••
      Entity owners
      • R••••••• W••••• M••••••••• · Member
        direct · owns 50% to 75%
      • R•••••••• M••••• L•• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 7
        Mar 29, 2017 to Mar 30, 2018
      • Charity clients · unset to 1.0
        Mar 29, 2017 to Mar 30, 2018
      • HNW clients · unset to 4.0
        Mar 29, 2017 to Mar 30, 2018
      • State-registered IARs · 3 to 4
        Mar 29, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $283M to $378M
        Mar 29, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 758129460.0
        Mar 29, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $214M to $530M
        Mar 29, 2017 to Mar 30, 2018
      • RAUM · $498M to $909M
        Mar 29, 2017 to Mar 30, 2018
      • Accounts · 8 to 9
        Feb 24, 2016 to Mar 29, 2017
      • Employees · 5 to 4
        Feb 24, 2016 to Mar 29, 2017
      • Financial planning clients · 0 to 1-10
        Feb 24, 2016 to Mar 29, 2017
      • State-registered IARs · 4 to 3
        Feb 24, 2016 to Mar 29, 2017
      • Discretionary RAUM · $225M to $283M
        Feb 24, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $436M to $214M
        Feb 24, 2016 to Mar 29, 2017
      • RAUM · $661M to $498M
        Feb 24, 2016 to Mar 29, 2017
      • Accounts · 0 to 8
        Dec 2, 2015 to Feb 24, 2016
      • Discretionary RAUM · $0 to $225M
        Dec 2, 2015 to Feb 24, 2016
      • Non-discretionary RAUM · $0 to $436M
        Dec 2, 2015 to Feb 24, 2016
      • RAUM · $0 to $661M
        Dec 2, 2015 to Feb 24, 2016
      Signals
      2 dated events
      • M••••• M•••••• F••••• O••••••• L•• reported RAUM $908.8M, up 83% from $498.0M (2017-03-29 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • M••••• M•••••• F••••• O••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 30, 2015 · 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.
      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