DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S•••••

CRD 173153

ATLANTA, GA

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Search this name across graphsid dfx:ria:5cda5b87-c120-7128-0b28-8f5744743326

Data as of Aug 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 5
On other graphs: 0
Observed: Nov 5, 2014 to Aug 18, 2022
13 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-80586
CRD: 173153

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• O•• F•••••••• O••••••••• F•••• L•	Owner	E	yes	03/2017	Mar 29, 2018	Aug 18, 2022
B••••• D•••	GENERAL COUNSEL	Na	yes	09/2014	Mar 31, 2015	Aug 18, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• O•• C•••••• A•••••••• L••	n/a	Asset manager	$11B	N	yes	n/a
F•••••• I• L••	n/a	Asset manager	$2.7B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 25, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	n/a	n/a	n/a	n/a	n/a	1	2	0	0

Relationships

Affiliated with (7)

→ A•••• O•• C•••••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ A•••• O•• C•••••• P••••••• I•• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ F•••••• I• L••Registered adviserother investment adviser, common control
factForm ADV
→ H•••• I• L••Registered adviser

Dated events

Occurred
Mar 25, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 25, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5cda5b87-c120-7128-0b28-8f5744743326
First observed: Nov 5, 2014
Last observed: Aug 18, 2022 49 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.