DFX Intelligence

R••••••• F•••••••• 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

R••••••• F•••••••• A•••••••• L••

CRD 143884

ATLANTA, GA

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Search this name across graphsid dfx:ria:75fd6668-608a-2088-8861-be3f969aabd6

Data as of Jul 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 6
On other graphs: 0
Observed: Feb 16, 2012 to Jul 20, 2026
54 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=0.97 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=14.0
Regulatory AUM: $488M••• Locked
Discretionary RAUM: $395M
Private client RAUM: $473Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $32.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• E••••• R•••••••	n/a	ATLANTA, GA	18	19	n/a	yes
A••••• S•••• M••	Certified Financial Planner	ATLANTA, GA	18	32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••••• G•••••• R•••••	OWNER/CEO	D	yes	04/2007	Feb 16, 2012	Aug 7, 2024
R•••••••• S••••• E•••••	CHIEF COMPLIANCE OFFICER, PRESIDENT	B	yes	06/2022	Feb 16, 2012	Aug 7, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	4	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	$488M	$397M	23.1%	$211M	32.3%	15	19	0	0

Relationships

Registered with (23)

← L•••• A•• G•••••Advisorregistration: current employment
Apr 13, 2026 to presentfactForm ADV
← A••• R• W•••••Advisorregistration: current employment
Mar 4, 2026 to presentfactForm ADV
← E••••• J• W••••Advisorregistration: current employment
Dec 15, 2023 to presentfactForm ADV
← A•• R•••••• D•••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Feb 13, 2025
Regulatory AUM changed
R••••••• F•••••••• A•••••••• L•• reported RAUM $396.9M, up 34% from $296.1M (2025-01-02 to 2025-02-13)
Form ADVobserved 7 days ago
$101M
Occurred
Jan 17, 2025
Advisor changed firm
Joseph Criscione left R••••••• F•••••••• A•••••••• L•• for Valic Financial Advisors, Inc. (registered 2025-02-06)
Form ADVobserved 7 days ago
Occurred
Mar 19, 2015
First Form ADV filing
R••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:75fd6668-608a-2088-8861-be3f969aabd6
First observed: Feb 16, 2012
Last observed: Jul 20, 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.