DFX Intelligence

A•••• O•• C••••••••• R••• E••••• S••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A•••• O•• C••••••••• R••• E••••• S••••••••• L••

CRD 312027

ATLANTA, GA

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Search this name across graphsid dfx:ria:e235a849-21da-6049-c08b-656de4675279

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 2
On other graphs: 0
Observed: Jan 11, 2021 to Mar 29, 2021
2 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
Offices: 2Schedule D 1.F, beyond the principal office
SEC number: 801-120301
CRD: 312027

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• O•• C••••••••• L••••••• L••	O•••• O• A•••• O•• C••••••••• R••• E••••• S••••••••• L••	E	yes	10/2020	Jan 11, 2021	Mar 29, 2021
A•••• O•• C••••••••• L•	O•••• O• A•••• O•• L••••••• L••	E	yes	01/2020	Jan 11, 2021	Mar 29, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• O•• C•••••• A•••••••• L••	n/a	Asset manager	$11B	N	yes	n/a
F•••••• I• L••	n/a	Asset manager	$2.7B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 29, 2021	n/a	n/a	3	3	2	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
2020	n/a	n/a	n/a	n/a	n/a	3	n/a	2	n/a

Relationships

Affiliated with (5)

→ A•••• O•• C•••••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ B••••••• O•• F•••••••• O••••••••• L•• • M••••••••• S•••••Registered adviserother investment adviser, common control
factForm ADV
→ A•••• O•• C•••••• P••••••• I•• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ F•••••• I• L••Registered adviser

Dated events

Occurred
Mar 29, 2021
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 11, 2021
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e235a849-21da-6049-c08b-656de4675279
First observed: Jan 11, 2021
Last observed: Mar 29, 2021 66 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.