DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

N•••••• N•••••• • P••••••• I•••

Former SEC-registered adviserGreenville, South CarolinaCRD 293199SEC 801-112837IAPD

Latest filing Jun 28, 2021

First filing on the tape Mar 14, 2018 · 12 filings

RAUM

$2.0B

reported, Item 5.F

Discretionary

83%

of RAUM

Private clients

82%

$1.7B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$2.0B as of Mar 11, 2021

Jan 16, 2019$1.4B then

HNW client RAUM$1.4B as of Mar 11, 2021

Jan 16, 2019$1.0B then

State-registered IARs (5.B.3)9 as of Mar 11, 2021

Jan 16, 20199 then

Employees (5.A)17 as of Mar 11, 2021

Jan 16, 201916 then

Private funds: no history

RAUM +17% over the last fiscal yearIARs 9 to 9

Practice profile

derived from the filing of Jun 28, 2021; every figure names its basis

RAUM per advisor: $224MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 114derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $677,785derivedRAUM over accounts (5.F.2.f)
Discretionary: 83%derivedof RAUM
Institutional: 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.9derivedItem 5.A over advisors
Advisors per office: 9.0derived1 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: +1.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 5.G
Financial planning clients: 1,000reportedItem 5.H
Wrap fee program: $1.7BreportedItem 5.I
Custody: $15.9M, 550 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
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)
has custody of client cash or bank accounts (9.A.1.a)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$1.4B71%
Pension and profit-sharing plans$314M16%
Individuals$235M12%
Charitable organizations$30.5M1.5%
Corporations and businesses$11.7M0.6%

Individual clients: 591reported
HNW clients: 432reported
Pension plan clients: 48reported
Charitable clients: 11reported
Accounts: 2,979reported
Financial planning clients: 1,000reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $15.9M for 550 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

Left, latest

J•••• A•••• C••••• to C•••••••
Nov 12, 2021 · Other
B••••••• K••• N•••••• to C•••••••
Nov 12, 2021 · Other
G••• C••••• D•••• to C•••••••
Nov 12, 2021 · Other
C••••• R• H••• to C•••••••
Nov 12, 2021 · Other
M•••• S••• C••••• to C•••••••
Nov 12, 2021 · Other
R•••••• B• M••••• to C•••••••
Nov 12, 2021 · Other
A••• R••••• N•••••• to C•••••••
Nov 12, 2021 · Other
W••••• M••••• B•••• to C•••••••
Nov 12, 2021 · Other

Joined, latest

J•••• A•••• C••••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
B••••••• K••• N•••••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
G••• C••••• D•••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
C••••• R• H••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
M•••• S••• C••••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
R•••••• B• M••••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
A••• R••••• N•••••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
W••••• M••••• B•••• from W•••• F•••• A•••••••
May 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

8 left for C•••••••
Nov 12, 2021 · Greenville, Sc · Firm absorbed

8 joined from W•••• F•••• A•••••••
May 1, 2018 · Greenville, Sc

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••• G•••• C••••• · Partner And Vice Presidentcontrol
since 11/2018 · owns 10% to 25%
M•••••• R••••••• B• · Partner And Treasurercontrol
since 11/2018 · owns 10% to 25%
N••••••• A•••• R••••• · Partner And Presidentcontrol
since 11/2018 · owns 10% to 25%
N••••••• B•••••••• K••• · Partner And Secretarycontrol
since 11/2018 · owns 10% to 25%
S•••••••• A••••• · Chief Compliance Officercontrol
since 01/2019 · owns less than 5%
B••••• W•••••• M••••• · Partner
since 11/2018 · owns 10% to 25%
C•••••• J••••• A•••• · Partner
since 11/2018 · owns 5% to 10%

Related persons

Schedule D 7.A

C•••••••
investment advisernRAUM $1237B
C••••••• Financial Advisors
broker-dealernRAUM $116B
World Investment Advisors, LLC
investment advisernRAUM $72B

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Related adviser · false to true
Mar 11, 2021 to Jun 28, 2021
Related broker-dealer · false to true
Mar 11, 2021 to Jun 28, 2021
Accounts · 1,081 to 2,979
Sep 2, 2020 to Mar 11, 2021
Advisory employees · 9 to 8
Sep 2, 2020 to Mar 11, 2021
Advisory activities · 5 to 6
Sep 2, 2020 to Mar 11, 2021
Charity clients · 12 to 11
Sep 2, 2020 to Mar 11, 2021
HNW clients · 425 to 432
Sep 2, 2020 to Mar 11, 2021
Individual clients · 586 to 591
Sep 2, 2020 to Mar 11, 2021
Pension plan clients · 50 to 48
Sep 2, 2020 to Mar 11, 2021
Assets in custody · $10.2M to $15.9M
Sep 2, 2020 to Mar 11, 2021
Employees · 16 to 17
Sep 2, 2020 to Mar 11, 2021
Discretionary RAUM · $1.4B to $1.7B
Sep 2, 2020 to Mar 11, 2021
HNW RAUM · $1.2B to $1.4B
Sep 2, 2020 to Mar 11, 2021
Individual RAUM · $199M to $235M
Sep 2, 2020 to Mar 11, 2021
Non-discretionary RAUM · $314M to $352M
Sep 2, 2020 to Mar 11, 2021
Pension RAUM · $282M to $314M
Sep 2, 2020 to Mar 11, 2021
RAUM · $1.7B to $2.0B
Sep 2, 2020 to Mar 11, 2021
Accounts · 1,037 to 1,081
Jun 25, 2019 to Mar 13, 2020
Charity clients · 9 to 12
Jun 25, 2019 to Mar 13, 2020
Corporate clients · 5 to 8
Jun 25, 2019 to Mar 13, 2020
HNW clients · 413 to 425
Jun 25, 2019 to Mar 13, 2020
Individual clients · 557 to 586
Jun 25, 2019 to Mar 13, 2020
Pension plan clients · 53 to 50
Jun 25, 2019 to Mar 13, 2020
Assets in custody · $361M to $10.2M
Jun 25, 2019 to Mar 13, 2020
Discretionary RAUM · $1.3B to $1.4B
Jun 25, 2019 to Mar 13, 2020
HNW RAUM · $1.1B to $1.2B
Jun 25, 2019 to Mar 13, 2020
Individual RAUM · $170M to $199M
Jun 25, 2019 to Mar 13, 2020
Non-discretionary RAUM · $300M to $314M
Jun 25, 2019 to Mar 13, 2020
Pension RAUM · $277M to $282M
Jun 25, 2019 to Mar 13, 2020
RAUM · $1.6B to $1.7B
Jun 25, 2019 to Mar 13, 2020
Accounts · 1,032 to 1,037
Jan 17, 2019 to Apr 29, 2019
Charity clients · 10 to 9
Jan 17, 2019 to Apr 29, 2019
HNW clients · 422 to 413
Jan 17, 2019 to Apr 29, 2019
Individual clients · 544 to 557
Jan 17, 2019 to Apr 29, 2019
Pension plan clients · 51 to 53
Jan 17, 2019 to Apr 29, 2019
Assets in custody · unset to 360818618.0
Jan 17, 2019 to Apr 29, 2019
Custody of client assets · false to true
Jan 17, 2019 to Apr 29, 2019
Discretionary RAUM · $1.2B to $1.3B
Jan 17, 2019 to Apr 29, 2019
HNW RAUM · $1.0B to $1.1B
Jan 17, 2019 to Apr 29, 2019
Individual RAUM · $147M to $170M
Jan 17, 2019 to Apr 29, 2019

Signals

3 dated events

Flick John Parrott (President And Cco) no longer on Schedule A of N•••••• N•••••• • P••••••• I••• (listed 2018-08-09, absent 2019-01-16)
Jan 16, 2019 · Control person left · inference
B Russell Miller (Partner And Treasurer) appeared on Schedule A of N•••••• N•••••• • P••••••• I•••
Jan 16, 2019 · Control person joined · fact
N•••••• N•••••• • P••••••• I••• filed its initial SEC registration (Form ADV)
Mar 14, 2018 · 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