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

P••••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserDurham, North CarolinaCRD 298000SEC 801-113878IAPD
Latest filing Mar 26, 2020
First filing on the tape Jul 23, 2018 · 5 filings
RAUM
$5.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$2.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
9 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$5.4B as of Mar 26, 2020
Mar 21, 2019$4.0B then
HNW client RAUM$1.4M as of Mar 26, 2020
Mar 21, 2019$1.1M then
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 21, 20190 then
Employees (5.A)16 as of Mar 26, 2020
Mar 21, 201916 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$85.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
92%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+34%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$4.1B76%
  • Pension and profit-sharing plans$701M13%
  • Corporations and businesses$416M7.7%
  • Charitable organizations$137M2.5%
  • Insurance companies$25.4M0.5%
  • High-net-worth individuals$1.4M0.0%
  • Individuals$927,9890.0%
Individual clients
6reported
HNW clients
n/areported
Pension plan clients
16reported
Charitable clients
10reported
Accounts
63reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $8.5M managedreported
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
      • B•••• W•••••••• T••• · Ceo And Chair Of The Boardcontrol
        since 09/2018 · owns less than 5%
      • C••••• C••••••• L•••••• · Co-Ciocontrol
        since 09/2018 · owns less than 5%
      • G••••• I••••• H••••• · President, Ciocontrol
        since 09/2018 · owns less than 5%
      • J•••••••• E•••••• U• · Ccocontrol
        since 09/2018 · owns less than 5%
      • L••••• E••••••• G•••••• · Cfocontrol
        since 09/2018 · owns less than 5%
      • S•••••• S••••• · Co-Ciocontrol
        since 09/2018 · owns less than 5%
      • W•••••••• M••••••••• A••••••• · Directorcontrol
        since 09/2018 · owns less than 5%
      • B•••• W•••••••• T••• · Trusteecontrol
        since 12/2009 · owns F of T••• B•••• W••••••• R•••••••• T••••
      • U•••••• J•••• · Trusteecontrol
        since 12/2012 · owns F of F•• G•••• E••• T••••
      Entity owners
      • F•• G••••• I••• · Shareholder
        direct · owns 75% or more
      • F•• G•••• E••• T•••• · Shareholder
        indirect · owns 25% to 50% of F•• G••••• I•••
      • T••• B•••• W••••••• R•••••••• T•••• · Shareholder
        indirect · owns 50% to 75% of F•• G••••• I•••
      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 · 56 to 63
        Mar 21, 2019 to Mar 26, 2020
      • Charity clients · 8 to 10
        Mar 21, 2019 to Mar 26, 2020
      • Corporate clients · unset to 6.0
        Mar 21, 2019 to Mar 26, 2020
      • Discretionary RAUM · $4.0B to $5.4B
        Mar 21, 2019 to Mar 26, 2020
      • HNW RAUM · $1.1M to $1.4M
        Mar 21, 2019 to Mar 26, 2020
      • Individual RAUM · $782,223 to $927,989
        Mar 21, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $15.2M to $12.0M
        Mar 21, 2019 to Mar 26, 2020
      • Pension RAUM · $651M to $701M
        Mar 21, 2019 to Mar 26, 2020
      • RAUM · $4.0B to $5.4B
        Mar 21, 2019 to Mar 26, 2020
      • Wrap assets (manager) · $2.2M to $8.5M
        Mar 21, 2019 to Mar 26, 2020
      • Charity clients · 9 to 8
        Nov 6, 2018 to Mar 21, 2019
      • Corporate clients · 7.0 to unset
        Nov 6, 2018 to Mar 21, 2019
      • HNW clients · 1.0 to unset
        Nov 6, 2018 to Mar 21, 2019
      • Individual clients · 7 to 6
        Nov 6, 2018 to Mar 21, 2019
      • Pension plan clients · 11 to 16
        Nov 6, 2018 to Mar 21, 2019
      • Discretionary RAUM · $3.8B to $4.0B
        Nov 6, 2018 to Mar 21, 2019
      • HNW RAUM · $1.2M to $1.1M
        Nov 6, 2018 to Mar 21, 2019
      • Individual RAUM · $1.1M to $782,223
        Nov 6, 2018 to Mar 21, 2019
      • Non-discretionary RAUM · $15.3M to $15.2M
        Nov 6, 2018 to Mar 21, 2019
      • Pension RAUM · $392M to $651M
        Nov 6, 2018 to Mar 21, 2019
      • RAUM · $3.8B to $4.0B
        Nov 6, 2018 to Mar 21, 2019
      • Wrap assets (manager) · $2.9M to $2.2M
        Nov 6, 2018 to Mar 21, 2019
      • Business name · P••••••• I••••••••• M••••••••• I••• to P••••••• I••••••••• A•••••••• I•••
        Oct 17, 2018 to Nov 6, 2018
      • Legal name · P••••••• I••••••••• M••••••••• I••• to P••••••• I••••••••• A•••••••• I•••
        Oct 17, 2018 to Nov 6, 2018
      • Succession · true to false
        Oct 17, 2018 to Nov 6, 2018
      • Accounts · 0 to 56
        Jul 23, 2018 to Oct 17, 2018
      • Advisory employees · 11 to 9
        Jul 23, 2018 to Oct 17, 2018
      • Charity clients · 0 to 9
        Jul 23, 2018 to Oct 17, 2018
      • Corporate clients · 0 to 7
        Jul 23, 2018 to Oct 17, 2018
      • HNW clients · 0 to 1
        Jul 23, 2018 to Oct 17, 2018
      • Individual clients · 0 to 7
        Jul 23, 2018 to Oct 17, 2018
      • Pension plan clients · 0 to 11
        Jul 23, 2018 to Oct 17, 2018
      • Employees · 20 to 16
        Jul 23, 2018 to Oct 17, 2018
      • Financial planning clients · unset to 0
        Jul 23, 2018 to Oct 17, 2018
      • Discretionary RAUM · $0 to $3.8B
        Jul 23, 2018 to Oct 17, 2018
      • HNW RAUM · $0 to $1.2M
        Jul 23, 2018 to Oct 17, 2018
      • Individual RAUM · $0 to $1.1M
        Jul 23, 2018 to Oct 17, 2018
      • Non-discretionary RAUM · $0 to $15.3M
        Jul 23, 2018 to Oct 17, 2018
      • Pension RAUM · $0 to $392M
        Jul 23, 2018 to Oct 17, 2018
      • RAUM · $0 to $3.8B
        Jul 23, 2018 to Oct 17, 2018
      Signals
      3 dated events
      • P••••••• I••••••••• A•••••••• I••• reported RAUM $5.4B, up 34% from $4.0B (2019-03-21 to 2020-03-26)
        Mar 26, 2020 · RAUM change · derived
      • P••••••• I••••••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 17, 2018 · Succession (Item 4) · fact
      • P••••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Jul 23, 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