DFX Intelligence

R•••••• F•••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R•••••• F•••••••• I••

CRD 106896

ATLANTA, GA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:845facfe-2234-f874-3608-62cc7e822ad7

Data as of Mar 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 1
Observed: Nov 17, 2011 to Mar 25, 2021
12 observations

Across DFX

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

Allocatorsidentity

R•••••• F•••••••• I••

Investment consultant · 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: $954M••• Locked
Discretionary RAUM: $954M
Private client RAUM: $928Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••• J•••••• R•••••	PRESIDENT/CEO	E	yes	01/1990	Nov 17, 2011	Mar 25, 2021
S••••••• R•••••• E••••	INVESTMENT ADVISOR REP	B	yes	01/1999	Nov 17, 2011	Mar 25, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$954M	$675M	41.4%	$480M	25.7%	10	11	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• F•••••••• A•••••••• L••	5	Apr 1, 2021	May 3, 2021	ATLANTA, GA	Firm absorbed	RIA to new firm	100.0%

Relationships

Controls (3)

← R••••••• J•••••• R•••••OwnerPRESIDENT/CEO, ownership code E, individual
Nov 17, 2011 to presentfactForm ADV
← W•••••• E•••••• J•OwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
Nov 17, 2011 to presentfactForm ADV
← S••••••• R•••••• E••••OwnerINVESTMENT ADVISOR REP, ownership code B, individual
Nov 17, 2011 to presentfactForm ADV

Moved with (1)

→ R•••••• F•••••••• A•••••••• L••Registered adviser

Dated events

Occurred
Mar 25, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$279M
Occurred
Mar 27, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$198M
Occurred
Mar 23, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$118M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:845facfe-2234-f874-3608-62cc7e822ad7
First observed: Nov 17, 2011
Last observed: Mar 25, 2021 66 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.