DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

T•• F•••••••• G••••

Former SEC-registered adviserSavannah, GeorgiaCRD 104731SEC 801-9822IAPD
Legal name F•••••••• S••••••• C•••••••••
Latest filing Mar 18, 2015
First filing on the tape Mar 27, 2012 · 8 filings
RAUM
$635M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$635M as of Mar 18, 2015
Mar 27, 2012$481M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 18, 2015
Mar 27, 20120 then
Employees (5.A)10 as of Mar 18, 2015
Mar 18, 20139 then
Private funds: no history
RAUM +10% over the last fiscal year+9.7% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 18, 2015; every figure names its basis
RAUM per advisor
$90.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Custody
$143M, 112 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
477reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$143M for 112 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Teams: two or more advisors moving together within fourteen days, from one state
        Teams outTeams in
        Private funds
        No private fund reported.
        Owners and control persons
        Schedule A and B, latest filing
        • B•••••• M••••••• L•• · Presidentcontrol
          since 12/1998 · owns 75% or more
        • G••••••• J•••• P••••• · Chief Investment Officercontrol
          since 06/2006 · owns 10% to 25%
        • B•••••• J••••• L•••••• · Chief Compliance Officer
          since 06/2008 · owns less than 5%
        • M•••••• S••••• B•••• · Senior Investment Manager & Director Of Research And Portfolio Management
          since 01/2013 · owns 5% to 10%
        Related persons
        Schedule D 7.A
        No related person reported.
        Offices
        Schedule D 1.F, the 25 largest
        No branch office listed.
        What changed
        consecutive filings, newest first
        • Accounts · 1,055 to 477
          Jan 8, 2015 to Mar 18, 2015
        • Advisory employees · 6 to 7
          Jan 8, 2015 to Mar 18, 2015
        • Assets in custody · $114M to $143M
          Jan 8, 2015 to Mar 18, 2015
        • Financial planning clients · 1-10 to 11-25
          Jan 8, 2015 to Mar 18, 2015
        • State-registered IARs · 6 to 7
          Jan 8, 2015 to Mar 18, 2015
        • Discretionary RAUM · $553M to $608M
          Jan 8, 2015 to Mar 18, 2015
        • Non-discretionary RAUM · $23.1M to $27.2M
          Jan 8, 2015 to Mar 18, 2015
        • RAUM · $576M to $635M
          Jan 8, 2015 to Mar 18, 2015
        • Accounts · 977 to 1,055
          Mar 18, 2013 to Mar 31, 2014
        • Advisory employees · 5 to 6
          Mar 18, 2013 to Mar 31, 2014
        • Assets in custody · $53.1M to $114M
          Mar 18, 2013 to Mar 31, 2014
        • Employees · 9 to 10
          Mar 18, 2013 to Mar 31, 2014
        • State-registered IARs · 5 to 6
          Mar 18, 2013 to Mar 31, 2014
        • Discretionary RAUM · $465M to $553M
          Mar 18, 2013 to Mar 31, 2014
        • Non-discretionary RAUM · $18.4M to $23.1M
          Mar 18, 2013 to Mar 31, 2014
        • RAUM · $484M to $576M
          Mar 18, 2013 to Mar 31, 2014
        • Accounts · 883 to 977
          Aug 29, 2012 to Mar 18, 2013
        • Advisory employees · unset to 5.0
          Aug 29, 2012 to Mar 18, 2013
        • Assets in custody · $102M to $53.1M
          Aug 29, 2012 to Mar 18, 2013
        • Employees · unset to 9.0
          Aug 29, 2012 to Mar 18, 2013
        • Financial planning clients · 0 to 1-10
          Aug 29, 2012 to Mar 18, 2013
        • State-registered IARs · 0 to 5
          Aug 29, 2012 to Mar 18, 2013
        • Discretionary RAUM · $459M to $465M
          Aug 29, 2012 to Mar 18, 2013
        • Non-discretionary RAUM · $21.8M to $18.4M
          Aug 29, 2012 to Mar 18, 2013
        • RAUM · $481M to $484M
          Aug 29, 2012 to Mar 18, 2013
        • Advisory activities · 3 to 4
          Jul 17, 2012 to Aug 29, 2012
        • Financial planning clients · unset to 0
          Jul 17, 2012 to Aug 29, 2012
        Signals
        No event on the tape.
        Across DFX
        shared identifiers only, never a name match
        No identifier-backed link to the venture, private equity, family office or sponsor graphs.
        Provenance
        Form ADV
        SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
        Advisors
        IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
        Class
        Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
        RAUM per advisor
        n/aderivedfirm RAUM over the IAPD count; not a book size
        Loaded
        Sep 14, 2026