DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

T•••• A•••••••• L••

CRD 25803

ATLANTA, GA

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Search this name across graphs

Data as of Jul 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 376
Dated events: 80
On other graphs: 3
Observed: Dec 2, 2011 to Jul 3, 2024
88 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

T•••• A•••••••• L••

Intermediary · key_crd, shared_crd

Venture Capitalidentity

T•••• A•••••••• I•••

Venture manager · key_crd, shared_crd

Allocatorsidentity

T•••• A•••••••• L••

Investment consultant · key_crd, shared_crd

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: $1.1B••• Locked
Discretionary RAUM: $695M
Private client RAUM: $1.0Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2,530

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A• A•••••• H••••••• G•• L••	GENERAL PARTNER	F	yes	05/2019	Mar 13, 2020	Jul 3, 2024
A• A•••••• H•••••••• L•••	Shareholder	E	yes	08/2019	Mar 13, 2020	Jul 3, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••• W•••••• I•••	n/a	Bd affiliated wealth	$235B	N	yes	n/a
O•••• F•• I•••	n/a	Former SEC adviser	$37B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Jacksonville	FL	United States	3	yes
Orlando	FL	United States	3	yes
Buda	TX	United States	3	yes
COLORADO SPRINGS	Co	United States	2	yes
NORTH PALM BEACH	FL	United States

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.1B	$2.2B	-50.8%	$1.2B	-2.3%	2,530	1,629	80	75

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••• A••••••• S•••••••• L••	2	Aug 23, 2024	Sep 20, 2021	ATLANTA, GA	Team lift out	Ibd to ibd	2.2%
C••••• I••••••••• A••••••• L••	2	Feb 15, 2024	Sep 30, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• A•••• M••••••••• C•••••••••	2	Dec 13, 2023	Dec 13, 2023	RAL••••, NC	Team lift out	Other	100.0%
L••••••• F•••••••• M•••••••••	2	Nov 29, 2022	Aug 24, 2022

Relationships

showing 80 of 376

Affiliated with (22)

← B•••• D•••••• F••••••••• L••Registered adviserother investment adviser, broker-dealer
factForm ADV
← A••••••• P••••••••• A•••••••• I••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ L•••••••• T••••••• A•••• M••••••••• I••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ A••••••• P••••••••• A•••••••• I••

Dated events

6 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
27 Aug 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
23 Aug 2024
Advisor changed firm3 events
T•••• A•••••••• L••: advisor changed firm, 3 counterparties, on 23 Aug 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
23 Aug 2024
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
22 Aug 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
25 Jul 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 2, 2011
Last observed: Jul 3, 2024 27 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.

All 27 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• G•••••• A••••	Director	Na	yes	12/2020	Jan 21, 2021	Jul 3, 2024
M•• I••• L••	Member	C	yes	08/2014	Mar 13, 2020	Jul 3, 2024
O•••• F•••••••• S•••••••• I•••	Shareholder	E	yes	05/2020	Jul 21, 2023	Jul 3, 2024
O•••• H•••••••• I•••	Member	E	yes	05/2020	Jul 21, 2023	Jul 3, 2024
P••••• J•••• D•••	Chairman	Na	yes	05/2020	Jun 26, 2020	Jul 3, 2024
R•• A•••••• C•••••••• G• L••	GENERAL PARTNER	F	yes	05/2019	Mar 13, 2020	Jul 3, 2024
R•• A•••••• C••••••••• L•••	LIMITED PARTNER	D	yes	08/2019	Mar 13, 2020	Jul 3, 2024
R•• G••••• H••••• L••	LIMITED PARTNER	E	yes	08/2014	Mar 13, 2020	Jul 3, 2024
R•• G••••• L•	LIMITED PARTNER	E	yes	01/2018	Mar 13, 2020	Jul 3, 2024
R•• O•• F••• I• G•• L•	Member	E	yes	05/2019	Mar 13, 2020	Jul 3, 2024
R•• O•• F••• I• G•• L•	Member	E	yes	05/2019	Mar 13, 2020	Jul 3, 2024
R••••••••• J•••••• L••	CEO/PRESIDENT AND DIRECTOR	Na	yes	01/2016	Dec 2, 2011	Jul 3, 2024
S••••••••• M•••••• A•••	EXECUTIVE VICE PRESIDENT, DIRECTOR	Na	yes	05/2020	Jun 26, 2020	Jul 3, 2024
S••••••• D•••• M•••••	TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	Na	yes	03/2021	Mar 30, 2021	Jul 3, 2024
T•• B•••••••• F••••• 2••• T••••	Member	E	yes	08/2014	Mar 13, 2020	Jul 3, 2024
G•••• J••••	SVP, CHIEF REGULATORY OFFICER	Na	no	09/2023	Sep 17, 2021	Jul 3, 2024
N•••••••• I•••• Y•••••••••	SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY	Na	no	09/2023	Aug 23, 2023	Jul 3, 2024

All 16 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••••••••• W••••• M••••••••• C••••	n/a	No RAUM reported	$0	N	yes	n/a
A••••••• P••••••••• F•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a
H••••••• C•••••• B••••••••	n/a	n/a	n/a	N	yes	n/a
L•••••••• T••••••• • C•• I•••	n/a	n/a	n/a	N	yes	n/a
P•••••• T••••• I•••	n/a	n/a	n/a	N	yes	n/a
T•••• I••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

All 25 rows

City	State	Country	Employees	Also broker-dealer
RAL••••	Nc	United States	2	yes
Independence	Oh	United States	2	yes
Medford	Or	United States	2	yes
SUGAR LAND	TX	United States	2	yes
n/a	n/a	n/a	2	yes
n/a	n/a	n/a	2	yes
n/a	n/a	n/a	2	yes
n/a	n/a	n/a	2	yes
Atlanta	Ga	United States	1	yes
Durham	Nc	United States	1	yes
Sylvania	Oh	United States	1	yes
Erdenheim	Pa	United States	1	yes
Cranston	Ri	United States	1	yes
Gallatin	Tn	United States	1	yes
n/a	n/a	n/a	1	yes

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 27, 2014	$1.2B	$219M	180	130	n/a	n/a	n/a
2012	Mar 27, 2013	$794M	$140M	148	110	n/a	n/a	n/a
2011	Mar 30, 2012	$640M	$110M	n/a	n/a	n/a	n/a	n/a

All 19 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• W••••• A•••••••	3	May 21, 2020	May 21, 2020	CHARLOTTE, NC	Team lift out	Ibd to RIA	2.9%
C•••••••• I••••••••• R••••••• A•••••••• I•••	2	Oct 31, 2019	Nov 1, 2019	ATLANTA, GA	Team lift out	Ibd to ibd	1.8%
A••••••• W••••• A•••••••	2	Jul 22, 2019	Jul 23, 2019	FRISCO, TX	Team lift out	Ibd to RIA	1.8%
A••••••• W••••• A•••••••	3	Apr 30, 2019	May 6, 2019	ATLANTA, GA	Team lift out	Ibd to RIA	2.7%
B•••••••• A•••• M••••••••• L••	2	Aug 22, 2018	Aug 27, 2018	ATLANTA, GA	Team lift out	Ibd to RIA	1.9%
A••••••• W••••• A•••••••	2	May 29, 2018	Jun 1, 2018	WAUKESHA, WI	Team lift out	Ibd to new firm	1.9%
K•••• M•••••••••	5	Dec 31, 2015	Dec 17, 2015	ATLANTA, GA	Team lift out	Other	4.5%
C••••••••• L••	2	Dec 2, 2015	Jun 9, 2015	WESTBOROUGH, MA	Team lift out	Other	1.8%
W•••• F•••• A•••••••	2	Sep 14, 2015	Sep 15, 2015	REDONDO BEACH, CA	Team lift out	Other	1.8%

All 11 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• G••••••• W••••• M••••••••• L••	2	Nov 17, 2015	Nov 17, 2015	RAL••••, NC	Team lift out	Other	5.1%