DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

S••••••••• F•••••••• S••••••• L••

CRD 306151

ATLANTA, GA

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Data as of Mar 7, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 14, 2019 to Mar 7, 2020
8 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $79.1M••• Locked
Discretionary RAUM: $79.1M
Private client RAUM: $54.2Mderived••• Locked
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••• J•••••••• F••••	CHIEF COMPLIANCE OFFICER AND SENIOR CLIENT ASSOCIATE	Na	yes	02/2020	Feb 24, 2020	Mar 7, 2020
Y••••• J••••• G•	Principal	E	yes	10/2019	Oct 14, 2019	Mar 7, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 7, 2020	$79.1M	$79.1M	4	3	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$79.1M	n/a	n/a	n/a	n/a	4	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••••• W••••• M••••••••• L••	2	Jan 14, 2021	Feb 1, 2021	ATLANTA, GA	Team lift out	RIA to RIA	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• J•••• • A••••••••• I•••	2	Dec 31, 2019	Jan 16, 2020	ATLANTA, GA	Team lift out	Ibd to new firm	0.1%

Relationships

Controls (2)

← T••••••• J•••••••• F••••OwnerCHIEF COMPLIANCE OFFICER AND SENIOR CLIENT ASSOCIATE, ownership code NA, individual
Feb 24, 2020 to presentfactForm ADV
← Y••••• J••••• G•OwnerPRINCIPAL, ownership code E, individual
Oct 14, 2019 to presentfactForm ADV

Moved with (2)

→ A•••••• W••••• M••••••••• L••Registered adviser2 advisors, team lift out, same day
Jan 14, 2021 to Feb 1, 2021factForm ADV
← R•••••• J•••• • A••••••••• I•••

Dated events

Order

Occurred
24 Feb 2020
Control person joined
••• Locked
Form ADV
Occurred
14 Oct 2019
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 14, 2019
Last observed: Mar 7, 2020 79 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.