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
H•••••• W••••• M••••••••• G••••• I•••
Latest filing Aug 18, 2026
First filing on the tape Apr 23, 2021 · 21 filings
SEC status approved since May 24, 2021
RAUM
$266M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
84%
$223M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$88.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$266M as of Aug 18, 2026
Feb 11, 2022$158M then
HNW client RAUM$198M as of Aug 18, 2026
Feb 11, 2022$112M then
State-registered IARs (5.B.3)3 as of Aug 18, 2026
Feb 11, 20223 then
Employees (5.A)5 as of Aug 18, 2026
Feb 11, 20223 then
Private funds: no history
RAUM +39% over the last fiscal year+21% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 18, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $88.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $517,827derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $233MreportedItem 5.I
- Custody
- $2.7M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M75%
- Pension and profit-sharing plans$30.2M11%
- Individuals$25.0M9.4%
- Corporations and businesses$9.8M3.7%
- Charitable organizations$2.7M1.0%
- Individual clients
- 67reported
- HNW clients
- 55reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 514reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $2.7M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• L••••••• C••••• | Daniel Island, Sc | Jun 4, 2021 | 19 y | 2 |
| M•••••• D•••• P•••••••Certified Financial Planner, Chartered Financial Consultant | Daniel Island, Sc | Jun 9, 2021 | 25 y | 2 |
| M••••• L••••• C•••• | Daniel Island, Sc | May 22, 2024 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- A••••• R• M••••••• to U•• F•••••••• S••••••• I•••Jan 9, 2026 · RIA to wirehouse
Joined, latest
- A••••• R• M••••••• from R•••••• J•••• • A••••••••• I•••Jun 10, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• D•••• P••••••• from R•••••• J•••• • A••••••••• I•••Jun 9, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• L••••••• C••••• from R•••••• J•••• • A••••••••• I•••Jun 4, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• • A••••••••• I•••Aug 3, 2021 · Mt Pleasant, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• L••••••• · Managing Directorcontrolsince 04/2021 · owns 25% to 50%
- M•••••••• A•••••• R• · Chief Compliance Officercontrolsince 04/2021 · owns less than 5%
- P•••••••• M••••••• D•••• · Managing Principalcontrolsince 04/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Daniel Island, Sc · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $191,288,183 to $266,163,310 (+39.0%) between the annual amendments of 2025-02-21 and 2026-03-26; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- Employees · 3 to 5Mar 26, 2026 to May 21, 2026
- Accounts · 473 to 514Jan 29, 2026 to Mar 26, 2026
- Advisory employees · 4 to 3Jan 29, 2026 to Mar 26, 2026
- BD registered reps · 4 to 3Jan 29, 2026 to Mar 26, 2026
- Corporate clients · 5 to 4Jan 29, 2026 to Mar 26, 2026
- HNW clients · 72 to 55Jan 29, 2026 to Mar 26, 2026
- Individual clients · 38 to 67Jan 29, 2026 to Mar 26, 2026
- Pension plan clients · 13 to 11Jan 29, 2026 to Mar 26, 2026
- Assets in custody · $1.6M to $2.7MJan 29, 2026 to Mar 26, 2026
- Employees · 4 to 3Jan 29, 2026 to Mar 26, 2026
- State-registered IARs · 4 to 3Jan 29, 2026 to Mar 26, 2026
- Discretionary RAUM · $160M to $233MJan 29, 2026 to Mar 26, 2026
- HNW RAUM · $142M to $198MJan 29, 2026 to Mar 26, 2026
- Individual RAUM · $11.9M to $25.0MJan 29, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $31.7M to $32.8MJan 29, 2026 to Mar 26, 2026
- Pension RAUM · $27.9M to $30.2MJan 29, 2026 to Mar 26, 2026
- RAUM · $191M to $266MJan 29, 2026 to Mar 26, 2026
- Accounts · 481 to 473Jul 25, 2024 to Feb 21, 2025
- Advisory employees · 3 to 4Jul 25, 2024 to Feb 21, 2025
- HNW clients · 73 to 72Jul 25, 2024 to Feb 21, 2025
- Individual clients · 41 to 38Jul 25, 2024 to Feb 21, 2025
- Pension plan clients · 14 to 13Jul 25, 2024 to Feb 21, 2025
- Assets in custody · $3.9M to $1.6MJul 25, 2024 to Feb 21, 2025
- Financial planning clients · 51-100 to 51-100Jul 25, 2024 to Feb 21, 2025
- State-registered IARs · 3 to 4Jul 25, 2024 to Feb 21, 2025
- Discretionary RAUM · $147M to $160MJul 25, 2024 to Feb 21, 2025
- HNW RAUM · $124M to $142MJul 25, 2024 to Feb 21, 2025
- Individual RAUM · $11.4M to $11.9MJul 25, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $27.2M to $31.7MJul 25, 2024 to Feb 21, 2025
- Pension RAUM · $26.2M to $27.9MJul 25, 2024 to Feb 21, 2025
- RAUM · $174M to $191MJul 25, 2024 to Feb 21, 2025
- BD registered reps · 3 to 4Jun 14, 2024 to Jun 14, 2024
- Accounts · 530 to 481Jan 19, 2024 to Feb 21, 2024
- Corporate clients · unset to 5.0Jan 19, 2024 to Feb 21, 2024
- HNW clients · 58 to 73Jan 19, 2024 to Feb 21, 2024
- Individual clients · 48 to 41Jan 19, 2024 to Feb 21, 2024
- Assets in custody · $2.7M to $3.9MJan 19, 2024 to Feb 21, 2024
- Employees · 3 to 4Jan 19, 2024 to Feb 21, 2024
- Insurance-licensed employees · 3 to 0Jan 19, 2024 to Feb 21, 2024
- Discretionary RAUM · $116M to $147MJan 19, 2024 to Feb 21, 2024
Signals
2 dated events
- Ansley R Mellette left Harbour Wealth Management Group, Inc. for Ubs Financial Services Inc. (registered 2026-01-28)Jan 9, 2026 · Advisor changed firm · fact
- Harbour Wealth Management Group, Inc. filed its initial SEC registration (Form ADV)Apr 23, 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
- Principal office phone
- 843-377-8448reportedpublic record, Form ADV, Aug 18, 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
- $88.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026