DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

C• M••••

C•• A•••••••• L••, CRD 306128

WARRENDALE, PA

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Search this name across graphsid dfx:ria:2630d764-3611-3a78-b1b7-b6f8c64b8bb4

Data as of May 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 6
On other graphs: 1
Observed: Oct 16, 2019 to May 21, 2026
20 observations

Across DFX

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

Family Officesidentity

C• M••••

Family office · shared crd

Facts

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

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.1 institutional_share=0.81 related_bd=true related_bank=true bd_reps=4.0
Regulatory AUM: $12B••• Locked
Discretionary RAUM: $12B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $3.9Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• W••••• W•••••	Chartered Financial Analyst	WARRENDALE, PA \| Atlanta, GA	2	14	1	no
B•••••• A••• T•••••••	Chartered Financial Analyst	WARRENDALE, PA \| Statham, GA	2	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• B••••• S••••	CHIEF INVESTMENT OFFICER	Na	yes	07/2023	Mar 28, 2024	Mar 28, 2024
C••• B••••••• W••••••	CHIEF FINANCIAL OFFICER	Na	yes	07/2023	Jun 13, 2023	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• M•• A•••••••• L••	n/a	Asset manager	$31B	N	yes	n/a
C•• A•••••••• L••	n/a	Institutional manager	$12B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 9, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	1	0	0	3	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$12B	$8.5B	37.3%	$7.2B	17.4%	44	35	2	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••• M•••• M••••••••• L••	2	Jun 11, 2021	Nov 15, 2023	WATKINSVILLE, GA	Team lift out	Other	11.8%

Relationships

Registered with (3)

← T••••• C•••••••Advisorregistration: current employment
Aug 6, 2026 to presentfactForm ADV
← B•••••• A••• T•••••••Advisorregistration: current employment
Nov 15, 2023 to presentfactForm ADV
← C•••••• W••••• W•••••Advisorregistration: current employment
Oct 13, 2023 to presentfactForm ADV

Affiliated with (13)

Dated events

Occurred
Mar 28, 2024
Control person joined
Scott Brian Allen (Chief Investment Officer) appeared on Schedule A of C• M••••
Form ADVobserved 7 days ago
Occurred
Jun 13, 2023
Control person joined
William Bradley Cox (Cfo) appeared on Schedule A of C• M••••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
C• M•••• reported RAUM $9.1B, up 29% from $7.0B (2021-09-29 to 2022-03-31)
Form ADVobserved 7 days ago
$2.0B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2630d764-3611-3a78-b1b7-b6f8c64b8bb4
First observed: Oct 16, 2019
Last observed: May 21, 2026 4 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.

Controls (16)

← G••••••••• M•••• R••••••OwnerPRESIDENT, ownership code NA, individual
Mar 17, 2020 to Mar 28, 2024factForm ADV
← M•••••• M••••••• C••••••OwnerMANAGING DIRECTOR, ownership code F, individual
Oct 16, 2019 to Mar 28, 2024factForm ADV
← A••••• B••••• S••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024factForm ADV
← K•••• D••••• A••••OwnerMANAGING DIRECTOR, ownership code F, individual
Oct 16, 2019 to Mar 28, 2024factForm ADV
← M•••••••• T••••••• B•••••OwnerMANAGING DIRECTOR, ownership code F, individual
Oct 16, 2019 to Mar 28, 2024factForm ADV
← G••••••• M•••• D••••OwnerCHAIRMAN, ownership code NA, individual
Oct 16, 2019 to Mar 28, 2024factForm ADV
← C••• B••••••• W••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 13, 2023 to Mar 28, 2024factForm ADV
← S•••••••• U••• A•••••OwnerCHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 17, 2020 to Mar 28, 2024factForm ADV
← M•••••••• A•••• E•••••OwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Oct 16, 2019 to Mar 28, 2024factForm ADV
← C•• G•••• H••••••• L••OwnerSOLE MEMBER OF C•• G•••• I••••••••• H••••••• L••, ownership code E, domestic entity
Mar 31, 2021 to Mar 28, 2024factForm ADV
← C•• G•••• I••••••••• H••••••• L••OwnerSOLE MEMBER OF C•• I••••••••• H•••••••• L••, ownership code E, domestic entity
Mar 31, 2021 to Mar 28, 2024factForm ADV
← C•• I••••••••• H•••••••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 16, 2019 to Mar 28, 2024factForm ADV
← E••••••• C•••••• P••••••• F••• I•• L•••OwnerMEMBER, ownership code E, domestic entity
Oct 16, 2019 to Mar 28, 2024factForm ADV
← E••••••• G• I•• L•••OwnerGENERAL PARTNER, ownership code F, domestic entity
Oct 16, 2019 to Mar 28, 2024factForm ADV
← E••••••• U•• I•• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Oct 16, 2019 to Mar 28, 2024factForm ADV
← N•• H•••••• L••OwnerMEMBER, ownership code E, domestic entity
Oct 16, 2019 to Mar 28, 2024factForm ADV