DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

C••••• I••••••••• A•••••••• L••

CRD 159221

ATLANTA, GA

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Search this name across graphsid dfx:ria:1ccbc648-109e-f927-b65d-bb7c2e11d0ba

Data as of Dec 9, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 0
On other graphs: 0
Observed: May 7, 2012 to Dec 9, 2013
25 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: $20.5M••• Locked
Discretionary RAUM: $11.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• E•••••• M•••	CHIEF RISK OFFICER	Na	yes	12/2012	Dec 11, 2012	Dec 9, 2013
H••••• R•••••• R••••	CEO/CFO/MANAGING MEMBER	Na	yes	09/2011	May 7, 2012	Dec 9, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••• C•••••• H•••••••• L••	n/a	Former SEC adviser	$28.8M	N	yes	n/a
C••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	n/a	no
Brunswick	Ga	United States	n/a	no
Columbus	Ga	United States	n/a	no
Jefferson	Ga	United States	n/a	no
Macon	Ga	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 27, 2013	$20.5M	$11.1M	12	12	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$20.5M	n/a	n/a	n/a	n/a	22	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ S••• C•••••• H•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••• C•••••• H•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (7)

← W•••••••• C••••••• M••••OwnerCHAIRMAN OF BOARD MEMBERS, ownership code NA, individual
Dec 11, 2012 to presentfactForm ADV
← H••••• R•••••• R••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ccbc648-109e-f927-b65d-bb7c2e11d0ba
First observed: May 7, 2012
Last observed: Dec 9, 2013 155 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.