DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

F•••••••• C••••••••• G•••• I••

CRD 108062

CUMMING, GA

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Search this name across graphsid dfx:ria:4b0e2161-49d6-b0b3-3048-41e9d4a6a133

Data as of Jul 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Dec 9, 2021 to Jul 22, 2026
16 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $188M••• Locked
Discretionary RAUM: $185M
Private client RAUM: $185Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $31.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• L•••• F•••••••	Certified Financial Planner	CUMMING, GA	8	27	7	no
S••••• C••••••• F•••••	Certified Financial Planner	CUMMING, GA	4	15	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• D••••• L••••	President	E	yes	01/2019	Dec 9, 2021	Mar 25, 2024
F•••••• S•••••• C•••••••	SECRETARY / CCO	Na	no	01/2018	Dec 9, 2021	Mar 25, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Alpharetta	Ga	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 12, 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
0	0	0	0.0%	0	0	0	2	1

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	$188M	$140M	34.5%	$92.8M	26.6%	8	6	2	1

Relationships

Registered with (9)

← J••••• R• H••••••Advisorregistration: current employment
Apr 24, 2026 to presentfactForm ADV
← C••••• G•••••Advisorregistration: current employment
Mar 9, 2026 to presentfactForm ADV
← J••• C• M•••••Advisorregistration: current employment
Jan 27, 2026 to presentfactForm ADV
← C•••••• L••••• F•••••••

Dated events

Occurred
Sep 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 19, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 9, 2021
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b0e2161-49d6-b0b3-3048-41e9d4a6a133
First observed: Dec 9, 2021
Last observed: Jul 22, 2026 2 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.