DFX Intelligence
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CRD 111025
ATLANTA, GA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| B•••• A•••••• F•••• | Certified Financial Planner | ATLANTA, GA | 23 | 32 | 1 | yes |
| M•••••• J••••• M••••• | Certified Financial Planner | ATLANTA, GA | 19 | 25 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••••• V••••• K••••• | PRESIDENT / CEO/CHIEF COMPLIANCE OFFICER | Na | yes | 02/2025 | Sep 9, 2026 | Sep 9, 2026 |
| H••••• M••••••• L•• | PRESIDENT/FOUNDER | E | yes | 07/1975 | Mar 26, 2012 | Oct 1, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Woodstock | Ga | United States | 5 | yes |
| VIRGINIA BEACH | Va | United States | 5 | yes |
| ST. PETERSBURG | FL | United States | 3 | no |
| Athens | Ga | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 5 | -5 | 29.4% | 0 | 0 | 0 | 2 | 6 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.7B | $2.1B | -20.0% | $1.2B | 10.9% | 30 | 36 | 3 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B•••••• H••••• W••••• M••••••••• | 3 | Dec 31, 2025 | Mar 16, 2026 | ATLANTA, GA | Team lift out | RIA to new firm | 15.0% |
| B•••••• H••••• W••••• M••••••••• | 2 | Dec 31, 2025 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 3 | Jan 13, 2023 | Nov 3, 2022 | WOODSTOCK, GA | Team lift out | Ibd to RIA | 0.1% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 3 | Sep 20, 2022 |
| yes |
| A•••• V••••• G••••• | Certified Financial Planner|Chartered Financial Analyst | ATLANTA, GA | 18 | 20 | 2 | yes |
| V•••• K••••• M•••••• | n/a | ATLANTA, GA | 11 | 14 | 1 | yes |
| A•••• P••• P••••• | Certified Financial Planner | DALTON, GA | ROCKY FACE, GA | Dalton, GA | ATLANTA, GA | 10 | 43 | 1 | yes |
| D•••• G•••••• H••••• | n/a | ATLANTA, GA | 10 | 19 | 2 | yes |
| T••••• K••• T••••••• | Certified Financial Planner | ATLANTA, GA | 9 | 21 | 4 | yes |
| N••••••• J••••• H••••• | n/a | ATLANTA, GA | Tampa, FL | 4 | 12 | 3 | yes |
| P••••••• A•• H••••• | n/a | Woodstock, GA | ATLANTA, GA | 3 | 25 | 5 | yes |
| D•••• M•••••• S••••• | n/a | ATLANTA, GA | Woodstock, GA | 3 | 17 | 3 | yes |
| G••• L••• L•••••• | Certified Financial Planner | Woodstock, GA | ATLANTA, GA | 3 | 10 | 1 | yes |
| K•••••• M••••••• C••••• | n/a | Tampa, FL | ATLANTA, GA | 2 | 10 | n/a | yes |
| B••••• T• G•••••• | Chartered Financial Analyst | ATLANTA, GA | 2 | 12 | n/a | yes |
| S•••• B••••• W••••• | n/a | ATLANTA, GA | 2 | 21 | 4 | yes |
| K••••• E•••• P•••••••• | Certified Financial Planner | ATLANTA, GA | Woodstock, GA | 2 | 12 | n/a | yes |
| J••••• B•• V•••••• | Certified Financial Planner | Dalton, GA | 1 | 19 | 6 | yes |
| D••••••• N••••• O•••• | n/a | ATLANTA, GA | 0 | 14 | n/a | yes |
| Owner |
| E |
| no |
| 10/2025 |
| Sep 9, 2026 |
| Sep 9, 2026 |
| F••••• B••••• A•••••• | SHAREHOLDER/SENIOR VICE PRESIDENT/ADVISOR | A | no | 08/1998 | Mar 26, 2012 | Oct 1, 2024 |
| G•••••• A••••• V••••• | SHAREHOLDER/FINANCIAL ADVISOR | Na | no | 01/2014 | Jul 22, 2014 | Oct 1, 2024 |
| H••••• S•••••• K•• | SHAREHOLDER/CUSTOMER SERVICES MANAGER | Na | no | 08/2008 | Mar 26, 2012 | Oct 1, 2024 |
| H•••••• D••••• G•••••• | SHAREHOLDER/DIRECTOR OF RESEARCH & INVESTMENTS | Na | no | 02/2019 | Apr 24, 2019 | Oct 1, 2024 |
| P•••••••• G••••••• P••• | CHIEF COMPLIANCE OFFICER | Na | no | 02/2024 | Apr 5, 2024 | Oct 1, 2024 |
| Apr 30, 2026 |
| $1.7B |
| $1.7B |
| 29 |
| 17 |
| 2 |
| n/a |
| n/a |
| 2024 | Apr 30, 2025 | $2.1B | $1.8B | 36 | 24 | 3 | n/a | n/a |
| 2023 | Mar 31, 2023 | $1.6B | $1.3B | 31 | 9 | 4 | n/a | n/a |
| 2022 | Apr 29, 2022 | $1.2B | $1.1B | 28 | 9 | 3 | n/a | n/a |
| 2021 | Apr 19, 2021 | $785M | $779M | 15 | 10 | 1 | n/a | n/a |
| 2020 | Apr 22, 2020 | $610M | $604M | 17 | 10 | 1 | n/a | n/a |
| 2019 | Apr 24, 2019 | $537M | $533M | 17 | 10 | 1 | n/a | n/a |
| 2018 | Apr 25, 2018 | $508M | $500M | 15 | 9 | 0 | n/a | n/a |
| 2017 | Apr 20, 2017 | $423M | $417M | 15 | 8 | n/a | n/a | n/a |
| 2016 | Mar 7, 2016 | $383M | $378M | 11 | 8 | n/a | n/a | n/a |
| 2015 | Mar 30, 2015 | $550M | $393M | 15 | 7 | n/a | n/a | n/a |
| 2014 | Mar 18, 2014 | $479M | $423M | 11 | 8 | n/a | n/a | n/a |
| 2013 | Mar 1, 2013 | $306M | $292M | 11 | 8 | n/a | n/a | n/a |
| 2012 | Mar 26, 2012 | $281M | $263M | n/a | n/a | n/a | n/a | n/a |
| VIRGINIA BEACH, VA |
| Team lift out |
| RIA to new firm |
| 10.0% |
| VIRGINIA BEACH, VA |
| Team lift out |
| Ibd to RIA |
| 0.1% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 2 | Oct 3, 2021 | Dec 4, 2018 | ATHENS, GA | Team lift out | Ibd to RIA | 0.0% |