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

Q•• F••••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 286639SEC 801-109922IAPD
Latest filing Mar 20, 2018
First filing on the tape Jan 24, 2017 · 5 filings
RAUM
$14.6M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$14.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 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$14.6M as of Mar 20, 2018
Jan 24, 2017$0 then
HNW client RAUM: $11.9M
State-registered IARs (5.B.3)1 as of Mar 20, 2018
Jan 24, 20170 then
Employees (5.A)11 as of Mar 20, 2018
Jan 24, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 2018; every figure names its basis
RAUM per advisor
$14.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
93derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$229,617derivedHNW RAUM over HNW clients
Average account
$83,506derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
11.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$11.9M82%
  • Individuals$2.1M14%
  • Corporations and businesses$584,6814.0%
Individual clients
41reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
175reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $1.3M managedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• P••••• W•••••• · Managing Principalcontrol
    since 12/2016 · owns less than 5%
  • J•••••• R•••• C•••••• · Chief Investment Officercontrol
    since 12/2016 · owns less than 5%
  • N••••••• D••••• L• · Chief Financial Officer & Chief Compliance Officercontrol
    since 12/2016 · owns less than 5%
  • S••••••• B••••• E•••••• · Managing Principalcontrol
    since 12/2016 · owns less than 5%
  • B••••• P••••• W•••••• · Owner And Elected Managercontrol
    since 12/2016 · owns 25% to 50% of A•••• G••••• P•••••••• L••
  • J•••••• R•••• C•••••• · Owner And Elected Managercontrol
    since 12/2016 · owns 25% to 50% of A•••• G••••• P•••••••• L••
  • N••••••• D••••• L• · Owner And Elected Managercontrol
    since 12/2016 · owns F of A•••• G••••• P•••••••• L••
  • S••••••• B••••• E•••••• · Owner And Elected Managercontrol
    since 12/2016 · owns 25% to 50% of A•••• G••••• P•••••••• L••
Entity owners
  • A•••• G••••• P•••••••• L•• · Owner
    direct · 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 · 147 to 175
    Sep 29, 2017 to Mar 20, 2018
  • Corporate clients · unset to 3.0
    Sep 29, 2017 to Mar 20, 2018
  • HNW clients · unset to 52.0
    Sep 29, 2017 to Mar 20, 2018
  • Individual clients · unset to 41.0
    Sep 29, 2017 to Mar 20, 2018
  • Financial planning clients · unset to 0
    Sep 29, 2017 to Mar 20, 2018
  • Other offices · unset to 0.0
    Sep 29, 2017 to Mar 20, 2018
  • Discretionary RAUM · $13.0M to $14.2M
    Sep 29, 2017 to Mar 20, 2018
  • HNW RAUM · unset to 11940091.0
    Sep 29, 2017 to Mar 20, 2018
  • Individual RAUM · unset to 2088811.0
    Sep 29, 2017 to Mar 20, 2018
  • Non-discretionary RAUM · $417,919 to $447,893
    Sep 29, 2017 to Mar 20, 2018
  • RAUM · $13.5M to $14.6M
    Sep 29, 2017 to Mar 20, 2018
  • Wrap assets (manager) · unset to 1279728.0
    Sep 29, 2017 to Mar 20, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Sep 29, 2017 to Mar 20, 2018
  • Accounts · 109 to 147
    Jun 6, 2017 to Sep 29, 2017
  • Advisory employees · 4 to 5
    Jun 6, 2017 to Sep 29, 2017
  • Discretionary RAUM · $8.4M to $13.0M
    Jun 6, 2017 to Sep 29, 2017
  • Non-discretionary RAUM · $0 to $417,919
    Jun 6, 2017 to Sep 29, 2017
  • RAUM · $8.4M to $13.5M
    Jun 6, 2017 to Sep 29, 2017
  • Accounts · 26 to 109
    Apr 19, 2017 to Jun 6, 2017
  • Business name · A•••• G••••• P•••••••• L•• to Q•• F••••••••• L••
    Apr 19, 2017 to Jun 6, 2017
  • Employees · 10 to 11
    Apr 19, 2017 to Jun 6, 2017
  • Legal name · A•••• G••••• P•••••••• L•• to Q•• F••••••••• L••
    Apr 19, 2017 to Jun 6, 2017
  • Discretionary RAUM · $4.3M to $8.4M
    Apr 19, 2017 to Jun 6, 2017
  • RAUM · $4.3M to $8.4M
    Apr 19, 2017 to Jun 6, 2017
  • Accounts · 0 to 26
    Jan 24, 2017 to Apr 19, 2017
  • Advisory employees · 3 to 4
    Jan 24, 2017 to Apr 19, 2017
  • Advisory activities · 3 to 2
    Jan 24, 2017 to Apr 19, 2017
  • Employees · 5 to 10
    Jan 24, 2017 to Apr 19, 2017
  • State-registered IARs · 0 to 1
    Jan 24, 2017 to Apr 19, 2017
  • Discretionary RAUM · $0 to $4.3M
    Jan 24, 2017 to Apr 19, 2017
  • RAUM · $0 to $4.3M
    Jan 24, 2017 to Apr 19, 2017
Signals
1 dated events
  • A•••• G••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 24, 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