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C•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C•••••••• L••

CRD 300032

ATLANTA, GA

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Search this name across graphsid dfx:ria:067b8de0-eb43-e2f2-fcd7-041fe74577c8

Data as of Aug 7, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 19, 2019 to Aug 7, 2019
4 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: $0Item 5.F on the latest filing (2019-08-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 7
Advisory employees: 2
Offices

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• J••••• C•••••	CHIEF INVESTMENT OFFICER	Na	yes	10/2018	Mar 19, 2019	Aug 7, 2019
C•••••••• I••••••••• C•••••• I••	Member	E	yes	10/2018	Mar 19, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• I••••••••• C•••••• I••	n/a	Former SEC adviser	$199M	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	1	no

Relationships

Affiliated with (1)

→ C•••••••• I••••••••• C•••••• I••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← C•••••••• I••••••••• C•••••• I••OwnerMEMBER, ownership code E, domestic entity
Mar 19, 2019 to presentfactForm ADV
← Q••••• T•••••• E•••••OwnerCEO, CFO, ownership code C, individual
Mar 19, 2019 to presentfactForm ADV
← H••••••• J•••• A••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 19, 2019
First Form ADV filing
C•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:067b8de0-eb43-e2f2-fcd7-041fe74577c8
First observed: Mar 19, 2019
Last observed: Aug 7, 2019 86 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.