DFX Intelligence
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CRD 16365
A••••••, 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 |
|---|---|---|---|---|---|---|
| J•••• G••• D•••••• | n/a | A••••••, GA | 22 | 43 | 1 | yes |
| B•••• E••••• A•••• | n/a | A••••••, GA | 22 | 29 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••• B••••••• H••••• J• | GS / CHAIRMAN | Na | yes | 01/1991 | Apr 3, 2018 | Mar 18, 2024 |
| T••••• T•••••• J•• | PRESIDENT/CEO | Na | yes | 09/2002 | Apr 3, 2018 | Mar 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•••••• T•••• • C••••••• I••• | n/a | Independent wealth | $104M | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Durango | Co | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 1 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $104M | $111M | -6.6% | $93.4M | 3.6% | 33 | 37 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•••••••• T••••••• A•••• M••••••••• I•• | 2 | Jul 25, 2024 | Jul 25, 2024 | A••••••, GA | Team lift out | RIA to RIA | 10.5% |
| W•••••• F•••••••• • I•••••••• S••••••• | 2 | Mar 18, 2020 |
| yes |
| M•••••• J• S•••• | n/a | Concord, NH | A••••••, GA | 19 | 24 | 1 | yes |
| J•••• P••••• P••••• | Certified Financial Planner | Atlanta, GA | A••••••, GA | 17 | 26 | 4 | yes |
| C•••••• V•••••• M••••• | n/a | A••••••, GA | 12 | 41 | 2 | yes |
| E••• N••• J•••• | n/a | A••••••, GA | 12 | 44 | 3 | yes |
| E•••• L••••• V••••••••• | n/a | A••••••, GA | Greenville, SC | 11 | 15 | n/a | yes |
| G••••• M•••• | n/a | A••••••, GA | 11 | 40 | 3 | yes |
| S•••• M•••• L••• | n/a | A••••••, GA | 9 | 38 | 2 | yes |
| T•••••• J•• T•••• | n/a | A••••••, GA | 9 | 44 | n/a | yes |
| T•••• L••••• M••••• | n/a | A••••••, GA | Alpharetta, GA | 9 | 31 | n/a | yes |
| B••••••• H••••• C••••• | n/a | A••••••, GA | 9 | 47 | n/a | yes |
| K•••••• W•••• M••••• | n/a | Auburn, AL | A••••••, GA | 9 | 43 | n/a | yes |
| J••••• J••••• H••••• | n/a | Durango, CO | A••••••, GA | 9 | 37 | 1 | yes |
| W•••••• H•••• B•••• | n/a | Nashville, TN | A••••••, GA | 9 | 33 | 2 | yes |
| J•••••• P••• C•••••• | n/a | A••••••, GA | 6 | 46 | 3 | yes |
| A••• R•••••• | n/a | A••••••, GA | 0 | 31 | n/a | yes |
| COMMON SHAREHOLDER |
| D |
| no |
| 01/2001 |
| Apr 3, 2018 |
| Mar 18, 2024 |
| C•••••• B••••••• H••••• | COMMON SHAREHOLDER | C | no | 03/1996 | Apr 3, 2018 | Mar 18, 2024 |
| F•••• A•••••• F•••••••• S•••••••• I••• | Owner | E | no | 03/1996 | Apr 3, 2018 | Mar 18, 2024 |
| M•••••• K•••••• W•••• | SROP/ CROP / MP/ MS/ GS / FN / CFO/CCO | Na | no | 04/1988 | Apr 3, 2018 | Mar 18, 2024 |
| $104M |
| $90.3M |
| 33 |
| 15 |
| 1 |
| n/a |
| n/a |
| 2024 | Apr 4, 2025 | $111M | $32.1M | 37 | 19 | 1 | n/a | n/a |
| 2023 | Mar 18, 2024 | $114M | $32.3M | 41 | 19 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $93.4M | $16.6M | 48 | 20 | 1 | n/a | n/a |
| 2021 | Mar 21, 2022 | $142M | $40.4M | 48 | 20 | 1 | n/a | n/a |
| 2020 | Mar 20, 2021 | $150M | $34.8M | 48 | 0 | 1 | n/a | n/a |
| 2019 | Mar 16, 2020 | $194M | $28.9M | 50 | 0 | 1 | n/a | n/a |
| 2018 | Mar 13, 2019 | $146M | $0 | 50 | 0 | 3 | n/a | n/a |
| A••••••, GA |
| Team lift out |
| Ibd to new firm |
| 10.0% |