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C•••••• R••••••• A•••••••• 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

C•••••• R••••••• A•••••••• L••

CRD 125621

SUWANEE, GA

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Search this name across graphsid dfx:ria:a7b2ed8e-95a8-e1f1-434e-fec65718badd

Data as of Jul 8, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 2, 2012 to Jul 8, 2019
20 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: $48.3MItem 5.F on the latest filing (2019-07-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $48.3M
Private client RAUM: $44.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••••• D•••• G•••••	n/a	SUWANEE, GA	23	33	1	yes
S••••• E••• S••••	n/a	SUGAR HILL, GA	21	38

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U••• 5• F•••	Hedge Fund	$112,000	Mar 28, 2018	2	Mar 30, 2015	dropped	021-237399

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• K••••••• D••••	CHIEF COMPLIANCE OFFICER/MANAGING MEMBER	E	yes	06/2008	Feb 2, 2012	Jul 8, 2019

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$48.3M	$93.0M	-48.0%	$101M	-21.8%	4	5	0	1

Relationships

Registered with (7)

← W••••• E••••• R•••••••Advisorregistration: current employment
Apr 23, 2026 to presentfactForm ADV
← S••••• E••• S••••Advisorregistration: current employment
Dec 14, 2004 to presentfactForm ADV
← K•••••• D•••• G•••••Advisorregistration: current employment
Jul 10, 2003 to presentfactForm ADV
← Jackson DeWitt King

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7b2ed8e-95a8-e1f1-434e-fec65718badd
First observed: Feb 2, 2012
Last observed: Jul 8, 2019 87 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.