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
M••••• C•••••• M••••••••• C••
Latest filing Mar 31, 2026
First filing on the tape Nov 27, 2019 · 19 filings
SEC status approved since Jan 2, 2020
RAUM
$90.7M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
3.7%
$3.3M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$22.7M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$90.7M as of Mar 31, 2026
May 3, 2021$260,717 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2026
May 3, 20210 then
Employees (5.A)6 as of Mar 31, 2026
May 3, 20215 then
Private funds: no history
RAUM -10% over the last fiscal year+42% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $22.7MderivedRAUM 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
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for investment companies, pension consultingreportedItem 5.G
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- Investment companies$76.1M84%
- Banks and thrifts$9.2M10%
- Individuals$3.3M3.7%
- Corporations and businesses$2.0M2.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.04 fund_share=0.84 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• J•••• M•••••• | Mt Pleasant, Sc | Nov 7, 2023 | 11 y | 2 |
| J••• M••••••• T•••Certified Financial Planner | Mt Pleasant, Sc | Feb 7, 2025 | 18 y | 5 |
| M••• A••••••• | Mt Pleasant, Sc | Jan 1, 2026 | 17 y | 10 |
| B•••••• D••• A••••• | Mt Pleasant, Sc | Jan 27, 2026 | 28 y | 5 |
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount4 left over 36 months
Left, latest
- G••• S••••• to G••••• I••••••••• A•••••••Jun 23, 2026 · Other
- P•••• A•••••• M••••••••• to P••••••• F••••• I•••Apr 13, 2026 · Other
- M•••••• S•••• L•••••••• to P••••••• F••••• I•••Apr 13, 2026 · Other
- K•••••• W••• to P••••••• F••••• I•••Oct 17, 2025 · Other
- P•••• A•••••• M••••••••• to M••••• C•••••• A•••••••• L••Dec 31, 2021 · Other
- M•••••• S•••• L•••••••• to M••••• C•••••• A•••••••• L••Dec 31, 2021 · Other
- D••••• M•••••• to F•••• C•••••• A••••••• S•••••••Dec 31, 2021 · Other
- K•••••• W••• to M••••• C•••••• A•••••••• L••Dec 31, 2021 · Other
Joined, latest
- M••• A••••••• from M••••• C•••••• A•••••••• L••Jan 1, 2026 · Other
- G••• S••••• from E•• F•••••••• A•••••••Sep 16, 2025 · Other
- J••• M••••••• T••• from Q••••••Feb 7, 2025 · Other
- R••• J•••• M•••••• from M••••• C•••••• A•••••••• L••Nov 7, 2023 · Other
- B•••••• D••• A••••• from M••••• C•••••• A•••••••• L••Jan 25, 2022 · Other
- K•••••• W••• from M••••• C•••••• A•••••••• L••Jan 25, 2022 · Other
- M•••••• S•••• L•••••••• from M••••• C•••••• A•••••••• L••Jan 13, 2022 · Other
- P•••• A•••••• M••••••••• from M••••• C•••••• A•••••••• L••Jan 12, 2022 · Other
- D••••• M•••••• from M••••• C•••••• A•••••••• L••Sep 2, 2021 · Other
- M•••••• S•••• L•••••••• from M••••• C•••••• A•••••••• L••Sep 1, 2021 · Other
- P•••• A•••••• M••••••••• from M••••• C•••••• A•••••••• L••Aug 24, 2021 · Other
- K•••••• W••• from M••••• C•••••• A•••••••• L••Aug 24, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• C•••••• A•••••••• L••Dec 31, 2021 · Mt Pleasant, Sc
- 3 joined from M••••• C•••••• A•••••••• L••Dec 4, 2023 · Raleigh, Nc
- 3 joined from M••••• C•••••• A•••••••• L••Dec 31, 2021 · Raleigh, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• B••••••• D••• · Ceocontrolsince 10/2022 · owns less than 5%
- W•••• K•••••• · Ccocontrolsince 03/2024 · owns less than 5%
- A•••••• B••••••• D••• · Ownercontrolsince 10/2019 · owns 75% or more of M••••• C•••••• I•••
Entity owners
- M••••• C•••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- L•••••• P••••••• F•••••••• S•••••••• L••broker-dealern
- M••••• C•••••• S••••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mt Pleasant, Sc · principal | 4 | 2 | 2 | ||
| Charleston, Sc | 0 | 0 | 1 | ||
| Miami, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Bridgehampton, NY1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-12-08, no on the filing of 2026-03-31peers: asset managers, under $100M (330)
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 17.0% to 96.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · 17 to 25Dec 8, 2025 to Mar 31, 2026
- Advisory employees · 4 to 3Dec 8, 2025 to Mar 31, 2026
- Advisory activities · 4 to 3Dec 8, 2025 to Mar 31, 2026
- BD registered reps · 5 to 2Dec 8, 2025 to Mar 31, 2026
- Corporate clients · unset to 8.0Dec 8, 2025 to Mar 31, 2026
- Employees · 7 to 6Dec 8, 2025 to Mar 31, 2026
- HQ city · to MT PLEASANTDec 8, 2025 to Mar 31, 2026
- HQ state · to SCDec 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $16.7M to $87.3MDec 8, 2025 to Mar 31, 2026
- Individual RAUM · unset to 3322797.0Dec 8, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $84.0M to $3.3MDec 8, 2025 to Mar 31, 2026
- RAUM · $101M to $90.7MDec 8, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 15, 2025
- Accounts · 9 to 17Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 7 to 4Mar 29, 2024 to Mar 31, 2025
- HQ city · unset to Mar 29, 2024 to Mar 31, 2025
- HQ state · unset to Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 4Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $42.5M to $16.7MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $84.0MMar 29, 2024 to Mar 31, 2025
- RAUM · $42.5M to $101MMar 29, 2024 to Mar 31, 2025
- Accounts · 2 to 9Oct 20, 2023 to Mar 29, 2024
- Advisory employees · 6 to 7Oct 20, 2023 to Mar 29, 2024
- Advisory activities · 2 to 4Oct 20, 2023 to Mar 29, 2024
- BD registered reps · 6 to 5Oct 20, 2023 to Mar 29, 2024
- Employees · 6 to 7Oct 20, 2023 to Mar 29, 2024
- Insurance-licensed employees · 6 to 0Oct 20, 2023 to Mar 29, 2024
- State-registered IARs · 6 to 7Oct 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $31.7M to $42.5MOct 20, 2023 to Mar 29, 2024
- RAUM · $31.7M to $42.5MOct 20, 2023 to Mar 29, 2024
- Related adviser · true to falseOct 20, 2023 to Mar 29, 2024
- Accounts · 1 to 2Mar 20, 2023 to Apr 3, 2023
- Advisory employees · 2 to 6Mar 20, 2023 to Apr 3, 2023
- Advisory activities · 1 to 2Mar 20, 2023 to Apr 3, 2023
- BD registered reps · 3 to 6Mar 20, 2023 to Apr 3, 2023
- Pooled vehicle clients · 1.0 to unsetMar 20, 2023 to Apr 3, 2023
- Employees · 5 to 6Mar 20, 2023 to Apr 3, 2023
- Insurance-licensed employees · 2 to 6Mar 20, 2023 to Apr 3, 2023
- State-registered IARs · 2 to 6Mar 20, 2023 to Apr 3, 2023
- Other offices · 1 to 3Mar 20, 2023 to Apr 3, 2023
Signals
10 dated events
- G••• S••••• left M••••• C•••••• M••••••••• C•• for G••••• I••••••••• A••••••• (registered 2026-06-24)Jun 23, 2026 · Advisor changed firm · fact
- P•••• A•••••• M••••••••• left M••••• C•••••• M••••••••• C•• for P••••••• F••••• I••• (registered 2026-05-24)Apr 13, 2026 · Advisor changed firm · fact
- M•••••• S•••• L•••••••• left M••••• C•••••• M••••••••• C•• for P••••••• F••••• I••• (registered 2026-05-21)Apr 13, 2026 · Advisor changed firm · fact
- K•••••• W••• left M••••• C•••••• M••••••••• C•• for P••••••• F••••• I••• (registered 2026-04-01)Oct 17, 2025 · Advisor changed firm · fact
- K•••••• W••• (Cco) appeared on Schedule A of M••••• C•••••• M••••••••• C••Mar 29, 2024 · Control person joined · fact
- 3 advisors left M••••• C•••••• A•••••••• L•• (Raleigh, NC) for M••••• C•••••• M••••••••• C•• a day apartDec 4, 2023 · Team lift-out · derived
- K•••••• W••• (Coo, Cco) no longer on Schedule A of M••••• C•••••• M••••••••• C•• (listed 2022-08-19, absent 2022-12-10)Dec 10, 2022 · Control person left · inference
- K•••••• W••• (Coo, Cco) appeared on Schedule A of M••••• C•••••• M••••••••• C••May 3, 2021 · Control person joined · fact
- Garfield Robert Roach (Cco Consultant) no longer on Schedule A of M••••• C•••••• M••••••••• C•• (listed 2020-05-01, absent 2020-11-18)Nov 18, 2020 · Control person left · inference
- M••••• C•••••• M••••••••• C•• filed its initial SEC registration (Form ADV)Nov 27, 2019 · ria f•••• adv filing · 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
- Website
- moderncap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-892-0244reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026