DFX Intelligence

P•• C•••••• M••••••••• 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

P•• C•••••• M••••••••• L••

CRD 106390

ATLANTA, GA

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Search this name across graphsid dfx:ria:5414968e-6f72-88b1-7885-9f6a881c7af9

Data as of Nov 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Nov 14, 2012
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: $167M••• Locked
Discretionary RAUM: $167M
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
A•••••••• R•••••• C•	PRESIDENT/MEMBER	E	yes	11/1993	Mar 12, 2012	Nov 14, 2012
S••••••• L••••• V•	CHIEF COMPLIANCE OFFICER	Na	yes	03/2006	Mar 12, 2012	Nov 14, 2012

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SANDY SPRINGS	Ga	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 12, 2012	$167M	$167M	n/a	n/a	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
2011	$167M	n/a	n/a	n/a	n/a	5	n/a	n/a	n/a

Relationships

Controls (2)

← A•••••••• R•••••• C•OwnerPRESIDENT/MEMBER, ownership code E, individual
Mar 12, 2012 to presentfactForm ADV
← S••••••• L••••• V•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 12, 2012 to presentfactForm ADV

Registered with (5)

← L•••• S••••••Advisorregistration: previous registration
Oct 16, 2006 to Mar 28, 2013factForm ADV
← D••••• C••••••••• H••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5414968e-6f72-88b1-7885-9f6a881c7af9
First observed: Mar 12, 2012
Last observed: Nov 14, 2012 168 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.