DFX Intelligence

T•• W••••• E••••••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

T•• W••••• E••••••••• G••••• I•••

CRD 126060

ALPHARETTA, GA

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Search this name across graphsid dfx:ria:0645d88c-6af8-7648-5553-9e371706766a

Data as of Mar 10, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2012 to Mar 10, 2021
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $336M••• Locked
Discretionary RAUM: $336M
Private client RAUM: $335Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••••• S•••••• F••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2003	Jan 11, 2012	Mar 10, 2021
R•••• M••••••• S••••	President	E	yes	09/1996	Jan 11, 2012	Mar 10, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$336M	$283M	18.8%	$212M	16.6%	3	3	0	0

Relationships

Controls (2)

← R•••• M••••••• S••••OwnerPRESIDENT, ownership code E, individual
Jan 11, 2012 to presentfactForm ADV
← P•••••••• S•••••• F••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 11, 2012 to presentfactForm ADV

Registered with (1)

← S••••• F•••••• P•••••••Advisorregistration: previous registration
Feb 6, 2014 to Nov 1, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0645d88c-6af8-7648-5553-9e371706766a
First observed: Jan 11, 2012
Last observed: Mar 10, 2021 67 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.