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CRD 133509
ATHENS, 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 |
|---|---|---|---|---|---|---|
| P•••••• K••• Y••••• | n/a | ATHENS, GA | 21 | 23 | 1 | yes |
| J•••• A•••• M•••••••• | n/a | ATHENS, GA | 15 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••• K••••• L• | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, PRESIDENT, OWNER, BOARD MEMBER | E | yes | 02/2021 | Mar 23, 2026 | Mar 23, 2026 |
| E••••• C••••••••• J• | CHIEF OPERATING OFFICER, CHIEF INFORMATION OFFICER | Na | yes | 12/2021 | Mar 23, 2026 | Mar 23, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C••••• S••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Albany | Ga | United States | 2 | no |
| 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 | 3 | -3 | 10.3% | 0 | 0 | 0 | 3 | 3 |
| 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 | $1.4B | 16.4% | $1.1B | 15.5% | 33 | 36 | 1 | 1 |
| yes |
| L•••• N••••••• P••••• | Certified Financial Planner | ATHENS, GA | 15 | 20 | 2 | yes |
| K•••• L• D•••• | n/a | ATHENS, GA | 15 | 16 | 1 | yes |
| J•••••• J•• Y•••• | n/a | ATHENS, GA | 15 | 22 | 2 | yes |
| G••••• H••••••• W••••••• | n/a | ATHENS, GA | 14 | 32 | 2 | yes |
| J••• W•••••• R•••••• | Certified Financial Planner | ATHENS, GA | 12 | 13 | n/a | yes |
| J••• R•••• C••• | Chartered Financial Consultant | ATHENS, GA | 10 | 27 | 1 | no |
| S•••••• K•••••• | Certified Financial Planner | ATHENS, GA | 9 | 10 | n/a | no |
| M•••••• R••• G•••• | Certified Financial Planner | ATHENS, GA | 9 | 18 | 1 | yes |
| K•••• L••••• G••••••• | n/a | ATHENS, GA | 8 | 12 | n/a | yes |
| K•••••• L••• S•••• | n/a | ATHENS, GA | 8 | 28 | n/a | no |
| K•••••• B••• M•••••••• | Certified Financial Planner | ATHENS, GA | 7 | 15 | n/a | no |
| L•••• T••••• H••• | n/a | ATHENS, GA | 6 | 10 | n/a | no |
| J••••••• P••• N•••• | n/a | ATHENS, GA | 5 | 13 | 2 | yes |
| K•••• S•••• V•••••• | n/a | ATHENS, GA | 5 | 15 | n/a | no |
| W•••••• C••• B••••• | n/a | ATHENS, GA | 5 | 12 | n/a | no |
| R••••• M••••••• C•••••• | n/a | ATHENS, GA | 4 | 11 | n/a | no |
| R• M••••••• D••••• | n/a | ATHENS, GA | 3 | 14 | n/a | no |
| R••••• A•• S•••• | n/a | ATHENS, GA | 2 | 13 | 4 | no |
| R••••• B• F••• | n/a | ATHENS, GA | 2 | 27 | 1 | yes |
| L••••• J••• R•••• | n/a | ATHENS, GA | 2 | 12 | n/a | no |
| I•• P•••• | Certified Financial Planner | ATHENS, GA | 1 | 12 | 1 | no |
| J••••• A••••• L•••• | n/a | ATHENS, GA | 1 | 12 | n/a | no |
| S••••• M•••• W•••• | Certified Financial Planner | ATHENS, GA | 1 | 10 | n/a | no |
| Y••••• J••••••• J•• | CHIEF INVESTMENT OFFICER | Na | yes | 02/2021 | Mar 23, 2026 | Mar 23, 2026 |
| W•••••••• G•••••• H••••••• | OWNER, BOARD MEMBER | C | yes | 06/2011 | Mar 30, 2017 | Oct 28, 2024 |
| Y••••• K•• | Owner | C | yes | 01/2010 | May 30, 2014 | Oct 28, 2024 |
| Mar 23, 2026 |
| $1.7B |
| $1.6B |
| 33 |
| 27 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $1.4B | $1.4B | 36 | 28 | 1 | n/a | n/a |
| 2023 | Mar 18, 2024 | $1.3B | $1.3B | 30 | 26 | 1 | n/a | n/a |
| 2022 | Mar 6, 2023 | $1.1B | $1.0B | 28 | 21 | 1 | n/a | n/a |
| 2021 | Mar 30, 2022 | $1.1B | $1.1B | 25 | 21 | 1 | n/a | n/a |
| 2020 | Mar 31, 2021 | $982M | $954M | 35 | 20 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $805M | $757M | 29 | 17 | 1 | n/a | n/a |
| 2018 | Mar 29, 2019 | $578M | $551M | 24 | 17 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $423M | $347M | 17 | 13 | 0 | n/a | n/a |
| 2016 | Mar 30, 2017 | $328M | $268M | 12 | 9 | n/a | n/a | n/a |
| 2015 | Apr 1, 2016 | $142M | $97.5M | 9 | 9 | n/a | n/a | n/a |
| 2014 | Mar 2, 2015 | $141M | $67.2M | 9 | 9 | n/a | n/a | n/a |