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S••••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••••••••• A•••••••• L••

CRD 306075

MARIETA, GA

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Search this name across graphsid dfx:ria:61dc3c22-fe80-6e05-1f9c-92e25a9143c4

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 3
On other graphs: 0
Observed: Nov 11, 2019 to Mar 30, 2026
15 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=0.68 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $353MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $349M
Private client RAUM: $238MderivedItem 5.D individuals plus high net worth individuals
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• M••••• S••••••••	n/a	MARIETA, GA	6	23	3	no
M•••••• T••• F•••••	Certified Financial Planner	MARIETA, GA	6	26

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• L••••• J•	Member	B	yes	11/2019	Nov 11, 2019	Mar 29, 2024
D••••••• R•••••• Y•	Member	B	yes	11/2019	Nov 11, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• W••••• M••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$353M	$350M	1.0%	$250M	12.3%	6	6	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••••••	5	Mar 26, 2020	Dec 13, 2019	MARRIETTA, GA	Firm absorbed	RIA to RIA	71.4%

Relationships

Registered with (7)

← K•••• C• S••••Advisorregistration: current employment
Dec 21, 2023 to presentfactForm ADV
← J••••• M••••• S••••••••Advisorregistration: current employment
Dec 13, 2019 to presentfactForm ADV
← M•••••• T••• F•••••Advisorregistration: current employment
Dec 13, 2019 to presentfactForm ADV
← L•••• J• B••••

Dated events

Occurred
Mar 26, 2020
Control person left
Shane Cory Colquette (Member) no longer on Schedule A of S••••••••• A•••••••• L•• (listed 2019-12-24, absent 2020-03-26)
Form ADVobserved 7 days ago
Occurred
Dec 24, 2019
Succession filed (Item 4)
S••••••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago
Occurred
Nov 11, 2019
First Form ADV filing
S••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:61dc3c22-fe80-6e05-1f9c-92e25a9143c4
First observed: Nov 11, 2019
Last observed: Mar 30, 2026 5 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.