DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1bsuccession filed

R•••••• • C••••••

CRD 107716

ATLANTA, GA

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Search this name across graphsid dfx:ria:298753b9-211f-a338-7121-4f73d831aa51

Data as of Feb 23, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 23, 2012 to Feb 23, 2015
6 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: $246M••• Locked
Discretionary RAUM: $231M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• C••••••• R••••••	CHIEF COMPLIANCE OFFICER	Na	yes	12/2014	Feb 23, 2015	Feb 23, 2015
E••••• O• M••• A• R••••••	Owner	Na	yes	01/2014	Mar 31, 2014	Feb 23, 2015

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 23, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$246M	$229M	7.8%	$180M	11.1%	5	4	n/a	n/a

Relationships

Controls (4)

← M•••••• J••••• T•OwnerPARTNER, ownership code E, individual
Mar 23, 2012 to presentfactForm ADV
← D••••••••• C••••••• R••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 23, 2015 to presentfactForm ADV
← R••••••• C••••• L•OwnerEXECUTRIX, ownership code F, individual
Feb 23, 2015 to presentfactForm ADV
← E••••• O• M••• A• R••••••OwnerOWNER, ownership code NA, domestic entity
Mar 31, 2014 to presentfact

Dated events

Occurred
Feb 23, 2015
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:298753b9-211f-a338-7121-4f73d831aa51
First observed: Mar 23, 2012
Last observed: Feb 23, 2015 141 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.