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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SEC-registered adviser
F•••• C••• C•••••• M••••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 24 filings
SEC status approved since Oct 11, 1979
RAUM
$424M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$406M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$424M as of Mar 31, 2026
Apr 2, 2012$302M then
HNW client RAUM$336M as of Mar 31, 2026
Mar 30, 2018$309M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 20, 20130 then
Employees (5.A)6 as of Mar 31, 2026
Mar 20, 20137 then
Private funds: no history
RAUM +3.0% over the last fiscal year+4.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $822,756derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $56.7M, 93 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$336M79%
- Individuals$70.7M17%
- Corporations and businesses$13.8M3.3%
- Charitable organizations$3.5M0.8%
- Individual clients
- 167reported
- HNW clients
- 84reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 515reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.7M for 93 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• L••• G••Chartered Financial Analyst | Savannah, Ga | Apr 25, 2003 | 50 y | 0 |
| E••••• L••• C••••• | Savannah, Ga | Apr 25, 2003 | 39 y | 0 |
| J••• P•••• S••••••Chartered Financial Analyst | Savannah, Ga | Feb 1, 2018 | 10 y | 0 |
| E••••• L••• C••••• | Savannah, Ga | Feb 5, 2018 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• E••••• B•••• · Sr. Vice Presidentcontrolsince 02/2005 · owns less than 5%
- C•••••• E•••••• L••• · Sr. Vice President/Ciocontrolsince 09/1992 · owns 75% or more
- G••• E••••• L••• · Presidentcontrolsince 01/1979 · owns less than 5%
- S••••••• A••••••••• J• · Chief Compliance Officercontrolsince 10/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Savannah, Ga · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 504 to 515Apr 23, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Apr 23, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2Apr 23, 2025 to Mar 31, 2026
- Charity clients · 2.0 to unsetApr 23, 2025 to Mar 31, 2026
- Corporate clients · 3.0 to unsetApr 23, 2025 to Mar 31, 2026
- HNW clients · 86 to 84Apr 23, 2025 to Mar 31, 2026
- Individual clients · 160 to 167Apr 23, 2025 to Mar 31, 2026
- Assets in custody · $140M to $56.7MApr 23, 2025 to Mar 31, 2026
- Employees · 8 to 6Apr 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $411M to $424MApr 23, 2025 to Mar 31, 2026
- HNW RAUM · $340M to $336MApr 23, 2025 to Mar 31, 2026
- Individual RAUM · $61.6M to $70.7MApr 23, 2025 to Mar 31, 2026
- RAUM · $411M to $424MApr 23, 2025 to Mar 31, 2026
- Financial planning clients · unset to Feb 25, 2025 to Apr 23, 2025
- Accounts · 508 to 504Mar 28, 2024 to Feb 25, 2025
- HNW clients · 87 to 86Mar 28, 2024 to Feb 25, 2025
- Individual clients · 157 to 160Mar 28, 2024 to Feb 25, 2025
- Assets in custody · $134M to $140MMar 28, 2024 to Feb 25, 2025
- Discretionary RAUM · $395M to $411MMar 28, 2024 to Feb 25, 2025
- HNW RAUM · $338M to $340MMar 28, 2024 to Feb 25, 2025
- Individual RAUM · $49.3M to $61.6MMar 28, 2024 to Feb 25, 2025
- RAUM · $395M to $411MMar 28, 2024 to Feb 25, 2025
- Accounts · 484 to 508Mar 31, 2023 to Mar 28, 2024
- Charity clients · unset to 2.0Mar 31, 2023 to Mar 28, 2024
- Corporate clients · unset to 3.0Mar 31, 2023 to Mar 28, 2024
- HNW clients · 79 to 87Mar 31, 2023 to Mar 28, 2024
- Individual clients · 160 to 157Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $62.7M to $134MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $369M to $395MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $294M to $338MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $68.5M to $49.3MMar 31, 2023 to Mar 28, 2024
- RAUM · $369M to $395MMar 31, 2023 to Mar 28, 2024
- Accounts · 486 to 484Mar 31, 2022 to Mar 31, 2023
- Individual clients · 166 to 160Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $90.9M to $62.7MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $396M to $369MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $331M to $294MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $56.9M to $68.5MMar 31, 2022 to Mar 31, 2023
- RAUM · $396M to $369MMar 31, 2022 to Mar 31, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- 912-238-4871reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 912-233-5492reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- f•••.usreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (912) 233-5492reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- f•••.usreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026