DFX Intelligence

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Former SEC-registered adviser

G•••• M••••••••• C•

Former SEC-registered adviserAtlanta, GeorgiaCRD 105295SEC 801-36415IAPD

Latest filing Mar 19, 2023

First filing on the tape Mar 29, 2012 · 18 filings

RAUM

$262M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

85%

$222M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$262M as of Mar 19, 2023

Mar 29, 2012$116M then

HNW client RAUM$215M as of Mar 19, 2023

Mar 28, 2018$174M then

State-registered IARs (5.B.3)2 as of Mar 19, 2023

Mar 29, 20120 then

Employees (5.A)3 as of Mar 19, 2023

Mar 27, 20134 then

Private funds: no history

RAUM -18% over the last fiscal year+2.5% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 19, 2023; every figure names its basis

RAUM per advisor: $131MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 40derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.8MderivedHNW RAUM over HNW clients
Average account: $920,888derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +2.6%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $47.7M, 33 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

High-net-worth individuals$215M82%
Charitable organizations$21.5M8.2%
Corporations and businesses$12.5M4.8%
Individuals$6.5M2.5%
Pension and profit-sharing plans$6.5M2.5%

Individual clients: 23reported
HNW clients: 57reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 285reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $47.7M for 33 clientsreported
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

Left, latest

D•••• B•••••• F••••• to W•••••• A•••••••• L••
Aug 3, 2023 · RIA to RIA

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• D••••• B•••••• · Vice President, Portfolio Managercontrol
since 07/1998 · owns 25% to 50%
G••••• N••••••• B•••••• · President, Secretary, Chief Compliance Officercontrol
since 01/1990 · owns 50% to 75%

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 · 289 to 285
Mar 14, 2022 to Mar 19, 2023
HNW clients · 54 to 57
Mar 14, 2022 to Mar 19, 2023
Individual clients · 24 to 23
Mar 14, 2022 to Mar 19, 2023
Assets in custody · $54.8M to $47.7M
Mar 14, 2022 to Mar 19, 2023
Employees · 2 to 3
Mar 14, 2022 to Mar 19, 2023
Discretionary RAUM · $321M to $262M
Mar 14, 2022 to Mar 19, 2023
HNW RAUM · $244M to $215M
Mar 14, 2022 to Mar 19, 2023
Individual RAUM · $11.9M to $6.5M
Mar 14, 2022 to Mar 19, 2023
Pension RAUM · $8.5M to $6.5M
Mar 14, 2022 to Mar 19, 2023
RAUM · $321M to $262M
Mar 14, 2022 to Mar 19, 2023
Accounts · 279 to 289
Apr 5, 2021 to Mar 14, 2022
HNW clients · 51 to 54
Apr 5, 2021 to Mar 14, 2022
Individual clients · 28 to 24
Apr 5, 2021 to Mar 14, 2022
Assets in custody · $46.0M to $54.8M
Apr 5, 2021 to Mar 14, 2022
Discretionary RAUM · $278M to $321M
Apr 5, 2021 to Mar 14, 2022
HNW RAUM · $204M to $244M
Apr 5, 2021 to Mar 14, 2022
Individual RAUM · $12.9M to $11.9M
Apr 5, 2021 to Mar 14, 2022
Pension RAUM · $7.9M to $8.5M
Apr 5, 2021 to Mar 14, 2022
RAUM · $278M to $321M
Apr 5, 2021 to Mar 14, 2022
Accounts · 292 to 279
Jun 24, 2020 to Feb 23, 2021
Charity clients · 4.0 to unset
Jun 24, 2020 to Feb 23, 2021
Corporate clients · 4.0 to unset
Jun 24, 2020 to Feb 23, 2021
HNW clients · 48 to 51
Jun 24, 2020 to Feb 23, 2021
Individual clients · 32 to 28
Jun 24, 2020 to Feb 23, 2021
Pension plan clients · 2.0 to unset
Jun 24, 2020 to Feb 23, 2021
Assets in custody · $42.2M to $46.0M
Jun 24, 2020 to Feb 23, 2021
Employees · 3 to 2
Jun 24, 2020 to Feb 23, 2021
Discretionary RAUM · $244M to $278M
Jun 24, 2020 to Feb 23, 2021
HNW RAUM · $179M to $204M
Jun 24, 2020 to Feb 23, 2021
Individual RAUM · $13.8M to $12.9M
Jun 24, 2020 to Feb 23, 2021
Pension RAUM · $12.9M to $7.9M
Jun 24, 2020 to Feb 23, 2021
RAUM · $244M to $278M
Jun 24, 2020 to Feb 23, 2021
Accounts · 289 to 292
Mar 12, 2019 to Feb 27, 2020
HNW clients · 51 to 48
Mar 12, 2019 to Feb 27, 2020
Individual clients · 29 to 32
Mar 12, 2019 to Feb 27, 2020
Assets in custody · $48.1M to $42.2M
Mar 12, 2019 to Feb 27, 2020
Custody of client assets · false to true
Mar 12, 2019 to Feb 27, 2020
Discretionary RAUM · $210M to $244M
Mar 12, 2019 to Feb 27, 2020
HNW RAUM · $154M to $179M
Mar 12, 2019 to Feb 27, 2020
Individual RAUM · $10.0M to $13.8M
Mar 12, 2019 to Feb 27, 2020

Signals

2 dated events

D•••• B•••••• F••••• left G•••• M••••••••• C• for W•••••• A•••••••• L•• (registered 2023-09-26)
Aug 3, 2023 · Advisor changed firm · fact
Philip Gwynn (President) no longer on Schedule A of G•••• M••••••••• C• (listed 2018-06-13, absent 2019-03-12)
Mar 12, 2019 · Control person left · inference

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