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

A•••• A••••••• C•••••••••

Former SEC-registered adviserAugusta, GeorgiaCRD 104739SEC 801-31621IAPD
Latest filing Sep 10, 2018
First filing on the tape Feb 13, 2012 · 9 filings
RAUM
$823M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$739M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$823M as of Jan 15, 2018
Feb 13, 2012$524M then
HNW client RAUM: $671M
State-registered IARs (5.B.3)2 as of Jan 15, 2018
Feb 13, 20120 then
Employees (5.A)5 as of Jan 15, 2018
Jan 31, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year+7.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 10, 2018; every figure names its basis
RAUM per advisor
$411MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
182derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.2MderivedHNW RAUM over HNW clients
Average account
$936,849derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$671M82%
  • Individuals$68.3M8.3%
  • Pension and profit-sharing plans$47.7M5.8%
  • Corporations and businesses$24.7M3.0%
  • Charitable organizations$10.9M1.3%
Individual clients
202reported
HNW clients
161reported
Pension plan clients
11reported
Charitable clients
6reported
Accounts
878reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••• R•••••• W••••••• · Vice Presidentcontrol
      since 05/2011 · owns 5% to 10%
    • R•••• G•••••• A••••• · Presidentcontrol
      since 04/2011 · owns 75% or more
    • R•••• S••••••• S•••• · Treasurer/Chief Compliance Officercontrol
      since 01/2012 · owns less than 5%
    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
    • Assets in custody · 15308334.0 to unset
      Jan 15, 2018 to Sep 10, 2018
    • Custody of client assets · true to false
      Jan 15, 2018 to Sep 10, 2018
    • Accounts · 860 to 878
      Jan 21, 2017 to Jan 15, 2018
    • Advisory employees · 3 to 2
      Jan 21, 2017 to Jan 15, 2018
    • Charity clients · unset to 6.0
      Jan 21, 2017 to Jan 15, 2018
    • Corporate clients · unset to 8.0
      Jan 21, 2017 to Jan 15, 2018
    • HNW clients · unset to 161.0
      Jan 21, 2017 to Jan 15, 2018
    • Individual clients · unset to 202.0
      Jan 21, 2017 to Jan 15, 2018
    • Pension plan clients · unset to 11.0
      Jan 21, 2017 to Jan 15, 2018
    • Pooled vehicle clients · unset to 0.0
      Jan 21, 2017 to Jan 15, 2018
    • Assets in custody · $15.4M to $15.3M
      Jan 21, 2017 to Jan 15, 2018
    • Employees · 6 to 5
      Jan 21, 2017 to Jan 15, 2018
    • Other offices · unset to 0.0
      Jan 21, 2017 to Jan 15, 2018
    • Discretionary RAUM · $692M to $823M
      Jan 21, 2017 to Jan 15, 2018
    • HNW RAUM · unset to 670897460.0
      Jan 21, 2017 to Jan 15, 2018
    • Individual RAUM · unset to 68302414.0
      Jan 21, 2017 to Jan 15, 2018
    • Pension RAUM · unset to 47732841.0
      Jan 21, 2017 to Jan 15, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Jan 21, 2017 to Jan 15, 2018
    • RAUM · $692M to $823M
      Jan 21, 2017 to Jan 15, 2018
    • Accounts · 821 to 860
      Jan 18, 2016 to Jan 21, 2017
    • Assets in custody · $13.3M to $15.4M
      Jan 18, 2016 to Jan 21, 2017
    • Discretionary RAUM · $659M to $692M
      Jan 18, 2016 to Jan 21, 2017
    • RAUM · $659M to $692M
      Jan 18, 2016 to Jan 21, 2017
    • Accounts · 781 to 821
      May 11, 2015 to Jan 18, 2016
    • Advisory employees · 4 to 3
      May 11, 2015 to Jan 18, 2016
    • Assets in custody · $12.5M to $13.3M
      May 11, 2015 to Jan 18, 2016
    • State-registered IARs · 4 to 2
      May 11, 2015 to Jan 18, 2016
    • Discretionary RAUM · $658M to $659M
      May 11, 2015 to Jan 18, 2016
    • RAUM · $658M to $659M
      May 11, 2015 to Jan 18, 2016
    • Accounts · 713 to 781
      Jan 22, 2014 to Jan 17, 2015
    • Advisory employees · 3 to 4
      Jan 22, 2014 to Jan 17, 2015
    • Assets in custody · $10.4M to $12.5M
      Jan 22, 2014 to Jan 17, 2015
    • Employees · 5 to 6
      Jan 22, 2014 to Jan 17, 2015
    • State-registered IARs · 3 to 4
      Jan 22, 2014 to Jan 17, 2015
    • Discretionary RAUM · $619M to $658M
      Jan 22, 2014 to Jan 17, 2015
    • RAUM · $619M to $658M
      Jan 22, 2014 to Jan 17, 2015
    • Accounts · 691 to 713
      Jan 31, 2013 to Jan 22, 2014
    • Advisory employees · 2 to 3
      Jan 31, 2013 to Jan 22, 2014
    • Assets in custody · $8.6M to $10.4M
      Jan 31, 2013 to Jan 22, 2014
    • Employees · 4 to 5
      Jan 31, 2013 to Jan 22, 2014
    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