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

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

C•••••• F•••••••• C••••••••• L••

CRD 119100

ATLANTA, GA

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Search this name across graphsid dfx:ria:c266c0e6-a05e-3747-0673-8365ec02f7a2

Data as of Mar 27, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2012 to Mar 27, 2017
14 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: $231MItem 5.F on the latest filing (2017-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $223M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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•••••• T•••• A••••••	CHIEF COMPLIANCE OFFICER	A	yes	10/2013	Oct 18, 2013	Mar 27, 2017
K••••• K••••• S•	MANAGER, PRESIDENT	E	yes	10/1999	Feb 23, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••• • D••••••••• L••	n/a	n/a	n/a	N	no	n/a
K•••••• H••••• B••••••	n/a	n/a	n/a	Y	no	n/a

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

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
2016	$231M	$207M	11.5%	$204M	4.3%	6	6	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••• B•••	4	Jan 29, 2018	Jan 10, 2018	ATLANTA, GA	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← K••••• K••••• S•OwnerMANAGER, PRESIDENT, ownership code E, individual
Feb 23, 2012 to presentfactForm ADV
← G•••••• T•••• A••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Oct 18, 2013 to presentfactForm ADV

Owns (2)

← B•••••••• J•••• D•••••OwnerMEMBER, ownership code B, individual
Feb 23, 2012 to presentfactForm ADV
← B••••••• K••••••• H•••••OwnerMEMBER, ownership code B, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c266c0e6-a05e-3747-0673-8365ec02f7a2
First observed: Feb 23, 2012
Last observed: Mar 27, 2017 115 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.