DFX Intelligence

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

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

A•••••• F•••••••• S•••••••• L••

CRD 110115

WOODSTOCK, GA

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Search this name across graphsid dfx:ria:296b3fe1-8347-4281-6312-9d08c0e49cce

Data as of Feb 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2011 to Feb 17, 2016
8 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: $512M••• Locked
Discretionary RAUM: $512M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• J••••••• A•••	PARTNER/CHIEF INVESTMENT OFFICER	C	yes	06/2006	Nov 30, 2011	Feb 17, 2016
K••••••• G•••• J••	PARTNER/CHIEF COMPLIANCE OFFICER	B	yes	10/2010	Nov 30, 2011	Feb 17, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••• R••• M••••••••• C••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 17, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$512M	$473M	8.2%	$334M	15.3%	16	14	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R••	7	Nov 14, 2016	Jul 6, 2016	WOODSTOCK, GA	Firm absorbed	Other	100.0%

Relationships

Controls (3)

← Y••••••••• C•••• A•••••OwnerMANAGING PARTNER, ownership code C, individual
Nov 30, 2011 to presentfactForm ADV
← B••••••• J••••••• A•••OwnerPARTNER/CHIEF INVESTMENT OFFICER, ownership code C, individual
Nov 30, 2011 to presentfactForm ADV
← K••••••• G•••• J••OwnerPARTNER/CHIEF COMPLIANCE OFFICER, ownership code B, individual
Nov 30, 2011 to presentfactForm ADV

Registered with (8)

← S•••••••• E••• W•••••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:296b3fe1-8347-4281-6312-9d08c0e49cce
First observed: Nov 30, 2011
Last observed: Feb 17, 2016 129 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.