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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F••••• C••••••
Legal name F••••• C•••••• O•••••••• C•••••• L••
Latest filing Jul 7, 2026
First filing on the tape Feb 27, 2023 · 9 filings
SEC status approved since Mar 30, 2023
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$133M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.6M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$143M as of Jul 7, 2026
Jan 30, 2024$159M then
HNW client RAUM$109M as of Jul 7, 2026
Jan 30, 2024$114M then
State-registered IARs (5.B.3)1 as of Jul 7, 2026
Jan 30, 20242 then
Employees (5.A)4 as of Jul 7, 2026
Jan 30, 20244 then
Private funds: no history
RAUM +6.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 7, 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
- RAUM per advisor
- $71.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $579,563derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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
- High-net-worth individuals$109M76%
- Individuals$24.3M17%
- Corporations and businesses$6.9M4.8%
- Insurance companies$2.8M2.0%
- Individual clients
- 85reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 247reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| D•••••• T•••••••••Chartered Financial Analyst | Charlotte, Nc | Jun 4, 2023 | 37 y | 2 |
| C•••• D•••• M••••••Personal Financial Specialist | Charlotte, Nc | Jun 6, 2024 | 36 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••••• T••••••••• from B•• W••••• M••••••••• L••Jun 4, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••• D•••• · Coo/Ccocontrolsince 06/2024 · owns less than 5%
- B••••• J•••••• B•••••• · Ownersince 02/2023 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Jan 27, 2026HNW share of RAUM moved from 60.0% to 76.0% between the annual amendments of 2025-01-08 and 2026-01-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- HQ city · CONCORD to CHARLOTTEJan 27, 2026 to Jul 7, 2026
- Accounts · 252 to 247Jan 8, 2025 to Jan 27, 2026
- Corporate clients · 4 to 2Jan 8, 2025 to Jan 27, 2026
- HNW clients · 40 to 67Jan 8, 2025 to Jan 27, 2026
- Individual clients · 109 to 85Jan 8, 2025 to Jan 27, 2026
- Discretionary RAUM · $134M to $143MJan 8, 2025 to Jan 27, 2026
- HNW RAUM · $81.2M to $109MJan 8, 2025 to Jan 27, 2026
- Individual RAUM · $44.4M to $24.3MJan 8, 2025 to Jan 27, 2026
- RAUM · $134M to $143MJan 8, 2025 to Jan 27, 2026
- Accounts · 297 to 252Jun 5, 2024 to Jan 8, 2025
- Advisory employees · 2 to 1Jun 5, 2024 to Jan 8, 2025
- Business name · F••••• C•••••• O•••••••• C•••••• L•• to F••••• C••••••Jun 5, 2024 to Jan 8, 2025
- Corporate clients · unset to 4.0Jun 5, 2024 to Jan 8, 2025
- HNW clients · 50 to 40Jun 5, 2024 to Jan 8, 2025
- Individual clients · 114 to 109Jun 5, 2024 to Jan 8, 2025
- Financial planning clients · 0 to 0Jun 5, 2024 to Jan 8, 2025
- State-registered IARs · 2 to 1Jun 5, 2024 to Jan 8, 2025
- Discretionary RAUM · $159M to $134MJun 5, 2024 to Jan 8, 2025
- HNW RAUM · $114M to $81.2MJun 5, 2024 to Jan 8, 2025
- Individual RAUM · $45.6M to $44.4MJun 5, 2024 to Jan 8, 2025
- RAUM · $159M to $134MJun 5, 2024 to Jan 8, 2025
- Accounts · 286 to 297Jun 7, 2023 to Jan 30, 2024
- HNW clients · 24 to 50Jun 7, 2023 to Jan 30, 2024
- Individual clients · 262 to 114Jun 7, 2023 to Jan 30, 2024
- Discretionary RAUM · $150M to $159MJun 7, 2023 to Jan 30, 2024
- HNW RAUM · $53.0M to $114MJun 7, 2023 to Jan 30, 2024
- Individual RAUM · $97.2M to $45.6MJun 7, 2023 to Jan 30, 2024
- RAUM · $150M to $159MJun 7, 2023 to Jan 30, 2024
- Accounts · 0 to 286Feb 27, 2023 to Jun 7, 2023
- Advisory employees · 1 to 2Feb 27, 2023 to Jun 7, 2023
- HNW clients · unset to 24.0Feb 27, 2023 to Jun 7, 2023
- Individual clients · unset to 262.0Feb 27, 2023 to Jun 7, 2023
- Employees · 3 to 4Feb 27, 2023 to Jun 7, 2023
- State-registered IARs · 1 to 2Feb 27, 2023 to Jun 7, 2023
- Discretionary RAUM · $0 to $150MFeb 27, 2023 to Jun 7, 2023
- HNW RAUM · unset to 53031482.0Feb 27, 2023 to Jun 7, 2023
- Individual RAUM · unset to 97234050.0Feb 27, 2023 to Jun 7, 2023
- RAUM · $0 to $150MFeb 27, 2023 to Jun 7, 2023
Signals
2 dated events
- David Carey Mcclure (Coo/Cco) appeared on Schedule A of F••••• C••••••Jun 5, 2024 · Control person joined · fact
- F••••• C•••••• O•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Feb 27, 2023 · 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
- 704-533-9876reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704.533.9876reportedpublic record, Form ADV, Jul 7, 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
- $71.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026