DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

Q••••••• R••• E••••• A••••••• L••

CRD 138077

ALPHARETTA, GA

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Search this name across graphsid dfx:ria:7cb1b2b8-ed98-a81b-6609-d38d0a677f41

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 14
On other graphs: 2
Observed: Mar 29, 2012 to Mar 31, 2026
34 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

Q••••••• R••• E••••• A••••••• L••

Private credit manager · shared crd

Real Estate Fundsidentity

Q••••••• R••• E••••• A••••••• L••

R••• estate fund manager · shared crd

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
Regulatory AUM: $24.9M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•••• D••••••• L••• F••• 1•	R••• E••••• Fund	$53.5M	Jul 10, 2024	51	Mar 31, 2022	reported	n/a
C••• M••••••• F••• I••	Other Private Fund	$7.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• A•••••• M••••	CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER	Na	yes	03/2024	Mar 29, 2024	Jul 10, 2024
E•••••• J••••••• L••••	Manager	C	yes	01/2006	Mar 29, 2012	Jul 10, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$24.9M	$109M	-77.2%	$565M	-64.7%	2	8	0	0

Relationships

Advises (6)

→ I•••• D••••••• L••• F••• 1•Private fundR••• E••••• Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ C••• M••••••• F••• I••Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ I•••• D••••••• L••• F••• 2•Private fundR••• E••••• Fund, IA
Mar 30, 2023 to presentfactForm ADV
→ Q••• I••••••••• I•••Private fund

Dated events

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

Occurred
Mar 31, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-419M
Occurred
Mar 29, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7cb1b2b8-ed98-a81b-6609-d38d0a677f41
First observed: Mar 29, 2012
Last observed: Mar 31, 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.