DFX Intelligence

J••• C••• • A••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

J••• C••• • A••••••••• I••

CRD 145903

ATHENS, GA

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Data as of Oct 19, 2015 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 27, 2012 to Oct 19, 2015
6 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
SEC number: 801-76868
CRD: 145903
Filings on the tape: 6
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• F•••••••• S••••••••• I•••	Owner	E	yes	05/2015	Sep 15, 2015	Oct 19, 2015
D••••• K••••• L•	CCO/CFO	Na	yes	05/2015	Sep 15, 2015	Oct 19, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• S••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 19, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	n/a	$200M	n/a	n/a	n/a	3	1	n/a	n/a

Relationships

Controls (3)

← C••••• F•••••••• S••••••••• I•••OwnerOWNER, ownership code E, domestic entity
Sep 15, 2015 to presentfactForm ADV
← Y••••• J••••••• J••OwnerPRESIDENT, ownership code NA, individual
Sep 15, 2015 to presentfactForm ADV
← D••••• K••••• L•OwnerCCO/CFO, ownership code NA, individual
Sep 15, 2015 to presentfactForm ADV

Registered with (3)

← J••• R•••• C•••Advisorregistration: previous registration

Dated events

Order

Occurred
27 Jun 2012
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 27, 2012
Last observed: Oct 19, 2015 133 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.