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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SEC-registered adviser
C•••••• P••••••• P••••••• L••
Latest filing Apr 23, 2026
First filing on the tape Mar 29, 2021 · 12 filings
SEC status approved since Apr 28, 2021
RAUM
$274M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$260M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$274M as of Apr 23, 2026
Mar 30, 2022$255M then
HNW client RAUM$159M as of Apr 23, 2026
Mar 30, 2022$165M then
State-registered IARs (5.B.3)3 as of Apr 23, 2026
Mar 30, 20227 then
Employees (5.A)5 as of Apr 23, 2026
Mar 30, 202211 then
Private funds: no history
RAUM -16% over the last fiscal year-0.8% a year over threeIARs 7 to 3
Practice profile
derived from the filing of Apr 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 170derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $255,562derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -57%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -46%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $52.4M, 189 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M58%
- Individuals$101M37%
- Corporations and businesses$14.5M5.3%
- Charitable organizations$81,5130.0%
- Individual clients
- 280reported
- HNW clients
- 60reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 1,073reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.4M for 189 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• D••••• C••••••Certified Financial Planner | C••••••Ton, Sc | May 4, 2020 | 19 y | 4 |
| M•••••• B•••• O•••••••Certified Financial Planner | C••••••Ton, Sc | Mar 8, 2023 | 12 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount7 left over 36 months
Left, latest
- G••••• P•••• R••••• to S••••• F••••••••• L••Aug 8, 2025 · RIA to affiliated broker-dealer or bank
- A••••• K•••• H•••••••• to S••••• F••••••••• L••May 15, 2025 · RIA to affiliated broker-dealer or bank
- K••• A• M••••••• to S••••• F••••••••• L••May 8, 2025 · RIA to affiliated broker-dealer or bank
- W•••••• S•••• M••••• to S••••• F••••••••• L••May 8, 2025 · RIA to affiliated broker-dealer or bank
- D••••• P•••••• C••••••• to S••••• F••••••••• L••Dec 10, 2024 · RIA to affiliated broker-dealer or bank
- D••••••• D•••••• N••••••• to F•••••••• A••••••• L••Aug 26, 2024 · RIA to RIA
- A•••• G••••••• E••••••• to O••••• I••••••••• A••••••• L••May 13, 2024 · Other
- S•••• L• C••••••• to D••••••••• W••••• M•••••••••Jan 26, 2023 · RIA to RIA
- G••••• P•••••••• V••••• to R•••• A•••••••• L••Oct 15, 2022 · RIA to a newly registered adviser
- D••••• J•••• G•••••••• to P••• F•••••••• A•••••••• L••Mar 20, 2022 · RIA to RIA
Joined, latest
- D••••••• D•••••• N••••••• from B••••••••• S•••••••• W•••••• L••May 9, 2023 · RIA to RIA
- M•••••• B•••• O••••••• from U•• F•••••••• S••••••• I•••Mar 8, 2023 · Wirehouse to independent RIA
- W•••••• S•••• M••••• from P•••••• A•••••• G••••• L••May 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- G••••• P•••••••• V••••• from F•••••••• G••••• I••••••••• M••••••••• C••••Apr 27, 2022 · Other
- D••••• J•••• G•••••••• from H•••••••• A•••••••• L••Feb 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••• L• C••••••• from I•••••• W••••• S••••••••• L••Jan 29, 2021 · RIA to RIA
- C•••••• D••••• C•••••• from L••• T•••• W••••• M••••••••• I•••May 4, 2020 · RIA to RIA
- A••••• K•••• H•••••••• from E•••••••• A•••••••• L••Jan 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- D••••• P•••••• C••••••• from J•• I••••••••• P•••••••• L••Feb 27, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for S••••• F••••••••• L••May 8, 2025 · C••••••Ton, Sc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••• D••••• · Managing Member & Chief Compliance Officercontrolsince 01/2018 · owns 75% or more
- C•••••••• D•••••• P•••••• · Partnersince 10/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| C••••••Ton, Sc · principal | 2 | 0 | 0 | ||
| Alexandria, Va | 0 | 0 | 0 | ||
| Myrtle Beach, Sc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 23, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $327,697,497 to $274,217,847, advisors 7 to 3, private clients 629 to 340, offices 0 to 0 (2025-03-31 to 2026-04-23)peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Apr 23, 2026accounts (Item 5.F.2.f) moved from 1,748.0 to 1,073.0 (-39.0%) between the annual amendments of 2025-03-31 and 2026-04-23; the peer median change was +5.0% (3687 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 4.1% percentile
- client count collapseChange between filings · filing Apr 23, 2026individual and HNW clients (Item 5.D) moved from 629.0 to 340.0 (-46.0%) between the annual amendments of 2025-03-31 and 2026-04-23; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.0% percentile
- a•••••• count dropChange between filings · filing Apr 23, 2026advisory representatives (Item 5.B.3) moved from 7.0 to 3.0 (-57.0%) between the annual amendments of 2025-03-31 and 2026-04-23; the peer median change was 0.0% (965 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 1.6% percentile
What changed
consecutive filings, newest first
- Accounts · 1,748 to 1,073Oct 15, 2025 to Apr 23, 2026
- Advisory employees · 7 to 4Oct 15, 2025 to Apr 23, 2026
- HNW clients · 86 to 60Oct 15, 2025 to Apr 23, 2026
- Individual clients · 543 to 280Oct 15, 2025 to Apr 23, 2026
- Assets in custody · $35.4M to $52.4MOct 15, 2025 to Apr 23, 2026
- Employees · 9 to 5Oct 15, 2025 to Apr 23, 2026
- Financial planning clients · More than 500 to 251-500Oct 15, 2025 to Apr 23, 2026
- State-registered IARs · 7 to 3Oct 15, 2025 to Apr 23, 2026
- Discretionary RAUM · $323M to $269MOct 15, 2025 to Apr 23, 2026
- HNW RAUM · $185M to $159MOct 15, 2025 to Apr 23, 2026
- Individual RAUM · $139M to $101MOct 15, 2025 to Apr 23, 2026
- Non-discretionary RAUM · $5.2M to $5.1MOct 15, 2025 to Apr 23, 2026
- RAUM · $328M to $274MOct 15, 2025 to Apr 23, 2026
- Financial planning clients · More than 500 to More than 500Mar 31, 2025 to Jun 24, 2025
- Related insurance company · false to trueMar 31, 2025 to Jun 24, 2025
- Accounts · 1,588 to 1,748Dec 10, 2024 to Mar 31, 2025
- Advisory employees · 6 to 7Dec 10, 2024 to Mar 31, 2025
- Corporate clients · 6 to 17Dec 10, 2024 to Mar 31, 2025
- HNW clients · 75 to 86Dec 10, 2024 to Mar 31, 2025
- Individual clients · 573 to 543Dec 10, 2024 to Mar 31, 2025
- Assets in custody · $78.2M to $35.4MDec 10, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to More than 500Dec 10, 2024 to Mar 31, 2025
- State-registered IARs · 6 to 7Dec 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $324M to $323MDec 10, 2024 to Mar 31, 2025
- HNW RAUM · $208M to $185MDec 10, 2024 to Mar 31, 2025
- Individual RAUM · $116M to $139MDec 10, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $9.0M to $5.2MDec 10, 2024 to Mar 31, 2025
- RAUM · $333M to $328MDec 10, 2024 to Mar 31, 2025
- Advisory employees · 10 to 6Mar 29, 2024 to Dec 10, 2024
- Employees · 13 to 9Mar 29, 2024 to Dec 10, 2024
- State-registered IARs · 9 to 6Mar 29, 2024 to Dec 10, 2024
- Other offices · 1 to 0Mar 29, 2024 to Dec 10, 2024
- Accounts · 1,513 to 1,588Mar 24, 2023 to Mar 29, 2024
- Advisory employees · 8 to 10Mar 24, 2023 to Mar 29, 2024
- BD registered reps · 1 to 0Mar 24, 2023 to Mar 29, 2024
- Charity clients · 0 to 1Mar 24, 2023 to Mar 29, 2024
- Corporate clients · 0 to 6Mar 24, 2023 to Mar 29, 2024
- HNW clients · 60 to 75Mar 24, 2023 to Mar 29, 2024
- Individual clients · 490 to 573Mar 24, 2023 to Mar 29, 2024
- Assets in custody · unset to 78189483.0Mar 24, 2023 to Mar 29, 2024
Signals
14 dated events
- G••••• P•••• R••••• left C•••••• P••••••• P••••••• L•• for S••••• F••••••••• L•• (registered 2024-07-16)Aug 8, 2025 · a•••••• firm change · fact
- A••••• K•••• H•••••••• left C•••••• P••••••• P••••••• L•• for S••••• F••••••••• L•• (registered 2024-07-16)May 15, 2025 · a•••••• firm change · fact
- W•••••• S•••• M••••• left C•••••• P••••••• P••••••• L•• for S••••• F••••••••• L•• (registered 2024-07-16)May 8, 2025 · a•••••• firm change · fact
- K••• A• M••••••• left C•••••• P••••••• P••••••• L•• for S••••• F••••••••• L•• (registered 2024-07-16)May 8, 2025 · a•••••• firm change · fact
- C•••••• P••••••• P••••••• L••'s advisors moved to S••••• F••••••••• L•• (Charleston, SC): 3 of 6 registered, within 7 daysMay 8, 2025 · Firm absorbed (people side) · derived
- D••••• P•••••• C••••••• left C•••••• P••••••• P••••••• L•• for S••••• F••••••••• L•• (registered 2024-07-16)Dec 10, 2024 · a•••••• firm change · fact
- D••••••• D•••••• N••••••• left C•••••• P••••••• P••••••• L•• for F•••••••• A••••••• L•• (registered 2024-09-06)Aug 26, 2024 · a•••••• firm change · fact
- A•••• G••••••• E••••••• left C•••••• P••••••• P••••••• L•• for O••••• I••••••••• A••••••• L•• (registered 2022-01-10)May 13, 2024 · a•••••• firm change · fact
- S•••• L• C••••••• left C•••••• P••••••• P••••••• L•• for D••••••••• W••••• M••••••••• (registered 2023-02-02)Jan 26, 2023 · a•••••• firm change · fact
- G••••• P•••••••• V••••• left C•••••• P••••••• P••••••• L•• for R•••• A•••••••• L•• (registered 2022-10-14)Oct 15, 2022 · a•••••• firm change · fact
- C•••••• P••••••• P••••••• L•• reported RAUM $254.6M, up 69% from $150.3M (2021-03-29 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Patrick Daniel Callahan (Partner & Chief Investment Officer) appeared on Schedule A of C•••••• P••••••• P••••••• L••Mar 30, 2022 · Control person joined · fact
- D••••• J•••• G•••••••• left C•••••• P••••••• P••••••• L•• for P••• F•••••••• A•••••••• L•• (registered 2022-03-04)Mar 20, 2022 · a•••••• firm change · fact
- C•••••• P••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 843-608-8487reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- capassoplanningpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-608-8487reportedpublic record, Form ADV, Apr 23, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026