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

O••••••••• I••

Asset manager (funds and pooled vehicles)Atlanta, GeorgiaCRD 104983SEC 801-8253IAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 43 filings
SEC status approved since Dec 13, 1971
RAUM
$827,684
reported, Item 5.F
Discretionary
100%
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
15
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$827,684 as of Mar 30, 2026
Mar 30, 2012$175B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)15 as of Mar 30, 2026
Mar 28, 2013187 then
Private funds1 as of Mar 30, 2026
Mar 30, 20125 then
RAUM -100% over the last fiscal year-86% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$827,684derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$827,684100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=4.0derived
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
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•• G••••• C•••• F•••• L••Other Private Fund$197M1Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• L••••• A•••••• · Director, Chief Executive Officer, And Presidentcontrol
        since 08/2020 · owns less than 5%
      • G••••••• M•••• W•••••• · Chief Financial Officercontrol
        since 03/2022 · owns less than 5%
      • H•••••• D••••• K••••••• · Chief Compliance Officer And S••••• Vice Presidentcontrol
        since 10/2023 · owns less than 5%
      • K•••••• G••••••• W••• · Directorcontrol
        since 03/2022 · owns less than 5%
      • O•••••• K••••• W•••••• · Treasurercontrol
        since 03/2022 · owns less than 5%
      • R••••••• M•••••• · Secretary And S••••• Vice Presidentcontrol
        since 12/2022 · owns less than 5%
      • V•••••••• T••••• G••••• · Directorcontrol
        since 03/2022 · owns less than 5%
      Entity owners
      • O••••••••• A••••••••• C••••••••• ••••• · Shareholder
        direct · owns 75% or more
      • I•••••• H•••••• C•••••• •••• I••• · Sole Shareholder
        indirect · owns 75% or more of O••••••••• A••••••••• C••••••••• •••••
      • I•••••• H•••••• C•••••• L•••••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I•••
      • I•••••• L••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list O••••••••• I•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Dallas, TX1 employees
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • RAUM down 50 %Change between filings · filing Mar 30, 2026
        RAUM (Item 5.F) moved from $253,927,602 to $827,684 (-100.0%) between the annual amendments of 2025-04-22 and 2026-03-30; the peer median change was -12.0% (97 comparable advisers, 1.0th percentile of changes)
        peers: ASSET_M••••••, under $100M (97) · 1.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Nov 21, 2025 to Mar 30, 2026
      • Assets in custody · $254M to $827,684
        Nov 21, 2025 to Mar 30, 2026
      • HQ city · NEW YORK to ATLANTA
        Nov 21, 2025 to Mar 30, 2026
      • HQ state · NY to GA
        Nov 21, 2025 to Mar 30, 2026
      • Other offices · 0 to 1
        Nov 21, 2025 to Mar 30, 2026
      • Discretionary RAUM · $254M to $827,684
        Nov 21, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $254M to $827,684
        Nov 21, 2025 to Mar 30, 2026
      • RAUM · $254M to $827,684
        Nov 21, 2025 to Mar 30, 2026
      • Advisory employees · 0 to 3
        Nov 25, 2024 to Apr 22, 2025
      • BD registered reps · 0 to 4
        Nov 25, 2024 to Apr 22, 2025
      • Assets in custody · $197M to $254M
        Nov 25, 2024 to Apr 22, 2025
      • Employees · 0 to 15
        Nov 25, 2024 to Apr 22, 2025
      • Financial planning clients · unset to
        Nov 25, 2024 to Apr 22, 2025
      • Other offices · 1 to 0
        Nov 25, 2024 to Apr 22, 2025
      • Discretionary RAUM · $197M to $254M
        Nov 25, 2024 to Apr 22, 2025
      • Pooled vehicle RAUM · $197M to $254M
        Nov 25, 2024 to Apr 22, 2025
      • RAUM · $197M to $254M
        Nov 25, 2024 to Apr 22, 2025
      • Assets in custody · $282M to $197M
        Oct 26, 2023 to Mar 28, 2024
      • Other offices · 0 to 1
        Oct 26, 2023 to Mar 28, 2024
      • Discretionary RAUM · $282M to $197M
        Oct 26, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $282M to $197M
        Oct 26, 2023 to Mar 28, 2024
      • RAUM · $282M to $197M
        Oct 26, 2023 to Mar 28, 2024
      • Assets in custody · $1.6B to $282M
        Jan 13, 2023 to Mar 31, 2023
      • Discretionary RAUM · $1.6B to $282M
        Jan 13, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $1.6B to $282M
        Jan 13, 2023 to Mar 31, 2023
      • RAUM · $1.6B to $282M
        Jan 13, 2023 to Mar 31, 2023
      • Assets in custody · $3.2B to $1.6B
        Jun 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $3.2B to $1.6B
        Jun 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $3.2B to $1.6B
        Jun 30, 2021 to Mar 31, 2022
      • RAUM · $3.2B to $1.6B
        Jun 30, 2021 to Mar 31, 2022
      • Assets in custody · $934M to $3.2B
        Feb 1, 2021 to Mar 31, 2021
      • Discretionary RAUM · $2.7B to $3.2B
        Feb 1, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.7B to $3.2B
        Feb 1, 2021 to Mar 31, 2021
      • RAUM · $2.7B to $3.2B
        Feb 1, 2021 to Mar 31, 2021
      • Assets in custody · $869M to $934M
        Dec 19, 2019 to Mar 30, 2020
      • Custody of client assets · true to false
        Dec 19, 2019 to Mar 30, 2020
      • Other offices · 2 to 0
        Dec 19, 2019 to Mar 30, 2020
      • Discretionary RAUM · $869M to $2.7B
        Dec 19, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $869M to $2.7B
        Dec 19, 2019 to Mar 30, 2020
      • RAUM · $869M to $2.7B
        Dec 19, 2019 to Mar 30, 2020
      Signals
      38 dated events
      • O••••••••• I•• reported RAUM $827,684, down 100% from $253.9M (2025-11-21 to 2026-03-30)
        Mar 30, 2026 · RAUM change · derived
      • Melanie Ringold (Secretary And Senior Vice President) appeared on Schedule A of O••••••••• I••
        Mar 28, 2024 · Control person joined · fact
      • H••••• J•••••• K•••• (Secretary And Vice President) no longer on Schedule A of O••••••••• I•• (listed 2023-10-26, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Kristine Devin Hummel (Chief Compliance Officer) appeared on Schedule A of O••••••••• I••
        Oct 2, 2023 · Control person joined · fact
      • Marie Donna White (Chief Compliance Officer And Senior Vice President) no longer on Schedule A of O••••••••• I•• (listed 2023-06-14, absent 2023-10-02)
        Oct 2, 2023 · Control person left · inference
      • O••••••••• I•• reported RAUM $281.6M, down 82% from $1.6B (2023-01-13 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Janecka Annette Lege (Director, Chief Financial Officer, And Treasurer) no longer on Schedule A of O••••••••• I•• (listed 2021-06-30, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • O••••••••• I•• reported RAUM $1.6B, down 50% from $3.2B (2021-06-30 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • G••••• T•••• V••••••• (Director) appeared on Schedule A of O••••••••• I••
        Mar 31, 2022 · Control person joined · fact
      • William Kevin Oldham (Treasurer) appeared on Schedule A of O••••••••• I••
        Mar 31, 2022 · Control person joined · fact
      • William Mark G•••son (Chief Financial Officer) appeared on Schedule A of O••••••••• I••
        Mar 31, 2022 · Control person joined · fact
      • G••• K••••• (Director) appeared on Schedule A of O••••••••• I••
        Mar 31, 2022 · Control person joined · fact
      • Marie Donna White (Chief Compliance Officer And Senior Vice President) appeared on Schedule A of O••••••••• I••
        Feb 1, 2021 · Control person joined · fact
      • Christopher Stephen Volpe (Chief Compliance Officer) no longer on Schedule A of O••••••••• I•• (listed 2020-11-13, absent 2021-02-01)
        Feb 1, 2021 · Control person left · inference
      • A•••••• L•••• D•••• (Director, Chief Executive Officer, And President) appeared on Schedule A of O••••••••• I••
        Nov 13, 2020 · Control person joined · fact
      • Janecka Annette Lege (Director, Chief Financial Officer, And Treasurer) appeared on Schedule A of O••••••••• I••
        Nov 13, 2020 · Control person joined · fact
      • H••••• J•••••• K•••• (Secretary And Vice President) appeared on Schedule A of O••••••••• I••
        Nov 13, 2020 · Control person joined · fact
      • K•••••• F••••••• (Chief Financial Officer And Treasurer) no longer on Schedule A of O••••••••• I•• (listed 2020-03-30, absent 2020-11-13)
        Nov 13, 2020 · Control person left · inference
      • Harris Robert Rigsby (Director, Secretary And Vice President) no longer on Schedule A of O••••••••• I•• (listed 2020-03-30, absent 2020-11-13)
        Nov 13, 2020 · Control person left · inference
      • Michael Loren Starr (Director, Chief Executive Officer And President) no longer on Schedule A of O••••••••• I•• (listed 2020-03-30, absent 2020-11-13)
        Nov 13, 2020 · Control person left · inference
      • O••••••••• I•• reported RAUM $2.7B, up 206% from $869.2M (2019-12-19 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • K•••••• F••••••• (Chief Financial Officer And Treasurer) appeared on Schedule A of O••••••••• I••
        Mar 30, 2020 · Control person joined · fact
      • Christopher Stephen Volpe (Chief Compliance Officer) appeared on Schedule A of O••••••••• I••
        Dec 19, 2019 · Control person joined · fact
      • Ann Mary Picciotto (Chief Compliance Officer) no longer on Schedule A of O••••••••• I•• (listed 2019-08-21, absent 2019-12-19)
        Dec 19, 2019 · Control person left · inference
      • Marie K•••••• F••••••• (Treasurer) no longer on Schedule A of O••••••••• I•• (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Kumar Krishna Memani (President) no longer on Schedule A of O••••••••• I•• (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Matthew David Pfeffer (Chief Financial Officer) no longer on Schedule A of O••••••••• I•• (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Cynthia Lo Bessette (Chief Legal Officer) no longer on Schedule A of O••••••••• I•• (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Ahmad Deek (Director) no longer on Schedule A of O••••••••• I•• (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      • Philip Arthur Steinmetz (Director & Chairman) no longer on Schedule A of O••••••••• I•• (listed 2019-03-29, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      404-892-0896reportedpublic record, Form ADV, Mar 30, 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
      Asset manager (funds and pooled vehicles)deriveda 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