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
S••••••• • H••••••• F•••••••• A••••••• I••
Latest filing Jun 26, 2026
First filing on the tape Mar 20, 2012 · 42 filings
SEC status approved since Nov 14, 1984
RAUM
$624M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$608M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$624M as of Jun 26, 2026
Mar 20, 2012$250M then
HNW client RAUM$499M as of Jun 26, 2026
Mar 19, 2018$265M then
State-registered IARs (5.B.3)6 as of Jun 26, 2026
Feb 25, 20137 then
Employees (5.A)9 as of Jun 26, 2026
Feb 25, 201310 then
Private funds: no history
RAUM +10% over the last fiscal year+8.6% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jun 26, 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
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $473,578derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $224M, 240 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$499M80%
- Individuals$109M17%
- Charitable organizations$9.4M1.5%
- Pension and profit-sharing plans$5.9M0.9%
- Individual clients
- 203reported
- HNW clients
- 206reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,317reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $224M for 240 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• R•••• S•••••••Certified Financial Planner | Atlanta, Ga | Mar 3, 2008 | 10 y | 0 |
| T••••••• L••••• N••••Certified Financial Planner | Atlanta, Ga | Apr 23, 2008 | 14 y | 0 |
| W•••••• F••••••• H•••••••Certified Financial Planner | Atlanta, Ga | May 2, 2011 | 14 y | 0 |
| M••• D• S••••••Certified Financial Planner | Atlanta, Ga | Nov 5, 2015 | 10 y | 0 |
| K•••••• R•••••• T•••••••Certified Financial Planner | Atlanta, Ga | Sep 28, 2018 | 12 y | 0 |
| R••••• A•••••••• C••••• | Atlanta, Ga | Jun 15, 2026 | 10 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
- J•••••••• V•• S••••••• to C••••••••• L••Feb 26, 2021 · RIA to a state-registered adviser
Joined, latest
- J•••••••• V•• S••••••• from T••••••• W••••• M•••••••••Sep 27, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• W••••••• F••••••• · Vice Presidentcontrolsince 04/2012 · owns 25% to 50%
- N••••• T•••••••• L••••• · Vice President/Secretarycontrolsince 04/2012 · owns 25% to 50%
- S••••••• M•••• D• · Chief Executive Officer/Treasurercontrolsince 01/2016 · owns 25% to 50%
- S•••••••• J••••••• R•••• · Presidentcontrolsince 01/2016 · owns 25% to 50%
- T•••••••• K••••••• R•••••• · Chief Compliance Officer, Director Of Operationscontrolsince 01/2024 · 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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Mar 4, 2026 to Jun 26, 2026
- Employees · 8 to 9Mar 4, 2026 to Jun 26, 2026
- State-registered IARs · 5 to 6Mar 4, 2026 to Jun 26, 2026
- Accounts · 1,316 to 1,317Jan 22, 2025 to Mar 4, 2026
- HNW clients · 199 to 206Jan 22, 2025 to Mar 4, 2026
- Individual clients · 209 to 203Jan 22, 2025 to Mar 4, 2026
- Assets in custody · $206M to $224MJan 22, 2025 to Mar 4, 2026
- Discretionary RAUM · $566M to $624MJan 22, 2025 to Mar 4, 2026
- HNW RAUM · $444M to $499MJan 22, 2025 to Mar 4, 2026
- Individual RAUM · $109M to $109MJan 22, 2025 to Mar 4, 2026
- Pension RAUM · $5.7M to $5.9MJan 22, 2025 to Mar 4, 2026
- RAUM · $566M to $624MJan 22, 2025 to Mar 4, 2026
- Accounts · 1,345 to 1,316Oct 7, 2024 to Jan 22, 2025
- HNW clients · 198 to 199Oct 7, 2024 to Jan 22, 2025
- Individual clients · 222 to 209Oct 7, 2024 to Jan 22, 2025
- Assets in custody · $193M to $206MOct 7, 2024 to Jan 22, 2025
- Custody of client assets · false to trueOct 7, 2024 to Jan 22, 2025
- Financial planning clients · 1-10 to 1-10Oct 7, 2024 to Jan 22, 2025
- Discretionary RAUM · $543M to $566MOct 7, 2024 to Jan 22, 2025
- HNW RAUM · $412M to $444MOct 7, 2024 to Jan 22, 2025
- Individual RAUM · $115M to $109MOct 7, 2024 to Jan 22, 2025
- Pension RAUM · $7.5M to $5.7MOct 7, 2024 to Jan 22, 2025
- RAUM · $543M to $566MOct 7, 2024 to Jan 22, 2025
- Accounts · 1,369 to 1,345Nov 1, 2023 to Feb 5, 2024
- HNW clients · 180 to 198Nov 1, 2023 to Feb 5, 2024
- Individual clients · 256 to 222Nov 1, 2023 to Feb 5, 2024
- Pension plan clients · 5.0 to unsetNov 1, 2023 to Feb 5, 2024
- Assets in custody · $174M to $193MNov 1, 2023 to Feb 5, 2024
- Financial planning clients · 11-25 to 1-10Nov 1, 2023 to Feb 5, 2024
- Discretionary RAUM · $487M to $543MNov 1, 2023 to Feb 5, 2024
- HNW RAUM · $343M to $412MNov 1, 2023 to Feb 5, 2024
- Individual RAUM · $124M to $115MNov 1, 2023 to Feb 5, 2024
- Pension RAUM · $12.7M to $7.5MNov 1, 2023 to Feb 5, 2024
- RAUM · $487M to $543MNov 1, 2023 to Feb 5, 2024
- Accounts · 1,338 to 1,369Apr 8, 2022 to Mar 21, 2023
- HNW clients · 196 to 180Apr 8, 2022 to Mar 21, 2023
- Individual clients · 237 to 256Apr 8, 2022 to Mar 21, 2023
- Assets in custody · $212M to $174MApr 8, 2022 to Mar 21, 2023
- Financial planning clients · 1-10 to 11-25Apr 8, 2022 to Mar 21, 2023
- Discretionary RAUM · $572M to $487MApr 8, 2022 to Mar 21, 2023
Signals
1 dated events
- R•••••• K•••••• T••••••• (Chief Compliance Officer, Director Of Operations) appeared on Schedule A of S••••••• • H••••••• F•••••••• A••••••• I••Feb 5, 2024 · Control person joined · fact
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
- 770-395-9797reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-674-3900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••ANDH•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-395-9797reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026