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.
Former SEC-registered adviser
Charleston Investment Advisors, LLC
Latest filing Feb 2, 2024
First filing on the tape May 24, 2022 · 5 filings
RAUM
$141M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
84%
$118M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$141M as of Feb 2, 2024
Mar 14, 2023$138M then
HNW client RAUM$94.0M as of Feb 2, 2024
Mar 14, 2023$90.5M then
State-registered IARs (5.B.3)2 as of Feb 2, 2024
Mar 14, 20232 then
Employees (5.A)2 as of Feb 2, 2024
Mar 14, 20232 then
Private funds: no history
RAUM +1.7% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 2, 2024; every figure names its basis
- RAUM per advisor
- $70.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $518,629derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%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, selection of other advisersreportedItem 5.G
- Custody
- $40.0M, 55 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.0M67%
- Individuals$23.8M17%
- Corporations and businesses$16.3M12%
- Pension and profit-sharing plans$3.8M2.7%
- Charitable organizations$2.6M1.8%
- Individual clients
- 62reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 271reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.0M for 55 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
- Stephanie F Mackara to Beacon Pointe Advisors, LLCDec 31, 2024 · RIA to RIA
- Erica Renee Smith to Beacon Pointe Advisors, LLCDec 31, 2024 · RIA to RIA
Joined, latest
- Stephanie F Mackara from Focus Advisor Solutions, LLCSep 19, 2019 · RIA to RIA
- Erica Renee Smith from Focus Advisor Solutions, LLCSep 19, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Beacon Pointe Advisors, LLCDec 31, 2024 · Mt Pleasant, Sc
- 2 joined from Focus Advisor Solutions, LLCFeb 4, 2020 · St Louis, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F Stephanie Mackara · President, Chief Compliance Officer, Membercontrolsince 01/2017 · owns 75% or more
- Renee Erica Smith · Vice President, Financial Plannercontrolsince 03/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Mt Pleasant, Sc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 267 to 271Mar 14, 2023 to Feb 2, 2024
- HNW clients · 35 to 40Mar 14, 2023 to Feb 2, 2024
- Individual clients · 69 to 62Mar 14, 2023 to Feb 2, 2024
- Assets in custody · $38.3M to $40.0MMar 14, 2023 to Feb 2, 2024
- HNW RAUM · $90.5M to $94.0MMar 14, 2023 to Feb 2, 2024
- Individual RAUM · $24.3M to $23.8MMar 14, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $138M to $141MMar 14, 2023 to Feb 2, 2024
- Pension RAUM · $4.2M to $3.8MMar 14, 2023 to Feb 2, 2024
- RAUM · $138M to $141MMar 14, 2023 to Feb 2, 2024
- Accounts · 257 to 267Jan 10, 2023 to Mar 14, 2023
- HNW clients · 26 to 35Jan 10, 2023 to Mar 14, 2023
- Individual clients · 64 to 69Jan 10, 2023 to Mar 14, 2023
- Assets in custody · $34.9M to $38.3MJan 10, 2023 to Mar 14, 2023
- HNW RAUM · $83.1M to $90.5MJan 10, 2023 to Mar 14, 2023
- Individual RAUM · $27.3M to $24.3MJan 10, 2023 to Mar 14, 2023
- Non-discretionary RAUM · $136M to $138MJan 10, 2023 to Mar 14, 2023
- Pension RAUM · $4.2M to $4.2MJan 10, 2023 to Mar 14, 2023
- RAUM · $136M to $138MJan 10, 2023 to Mar 14, 2023
- Assets in custody · $34.0M to $34.9MMay 24, 2022 to Jul 12, 2022
Signals
4 dated events
- Erica Renee Smith left Charleston Investment Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2024-12-20)Dec 31, 2024 · Advisor changed firm · fact
- 2 advisors left Charleston Investment Advisors, LLC (MT Pleasant, SC) for Beacon Pointe Advisors, LLC on the same dayDec 31, 2024 · Team lift-out · derived
- Stephanie F Mackara left Charleston Investment Advisors, Llc for Beacon Pointe Advisors, Llc (registered 2025-02-05)Dec 31, 2024 · Advisor changed firm · fact
- Charleston Investment Advisors, Llc filed its initial SEC registration (Form ADV)May 24, 2022 · 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