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
E••• • H•••• W••••• M•••••••••
Legal name R• S•••••• E••• I••••••••• C••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Dec 2, 2011 · 25 filings
SEC status approved since Mar 30, 1987
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$225M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80.2M
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
25 filings and snapshots on the tape
RAUM$240M as of Mar 30, 2026
Feb 2, 2012$143M then
HNW client RAUM$182M as of Mar 30, 2026
Jan 22, 2018$129M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Feb 2, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Feb 20, 20136 then
Private funds: no history
RAUM +1.4% over the last fiscal year+0.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $80.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M76%
- Individuals$42.9M18%
- Pension and profit-sharing plans$8.0M3.3%
- Charitable organizations$7.7M3.2%
- Individual clients
- 122reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 229reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $131M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• F••••• H••••Chartered Financial Analyst | Atlanta, Ga | Jul 20, 1992 | 39 y | 0 |
| S•••• M••••••••• S••••••Certified Financial Planner, Chartered Financial Analyst | Atlanta, Ga | Sep 6, 2002 | 27 y | 0 |
| M•••••• S•••• E•••Chartered Financial Analyst | Atlanta, Ga | Mar 30, 2004 | 33 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
- M••• H••••• T••••• to T••••• I••••••••• C••••••Aug 21, 2009 · Other
- D•••• G••• M•••••• to H•••••••• I••••••••• L••Oct 1, 2008 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••• R•••••• S•••••• · Presidentcontrolsince 03/1987 · owns less than 5%
- H••••• T•••••• F••••• · Vice Presidentcontrolsince 06/1987 · owns 50% to 75%
- E•••• M••••••• S•••• · Chief Compliance Officersince 08/2009 · owns 50% to 75%
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 225 to 229Oct 31, 2025 to Mar 30, 2026
- HNW clients · 98 to 107Oct 31, 2025 to Mar 30, 2026
- Individual clients · 127 to 122Oct 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $237M to $240MOct 31, 2025 to Mar 30, 2026
- HNW RAUM · $178M to $182MOct 31, 2025 to Mar 30, 2026
- Individual RAUM · $44.2M to $42.9MOct 31, 2025 to Mar 30, 2026
- Pension RAUM · $7.3M to $8.0MOct 31, 2025 to Mar 30, 2026
- RAUM · $237M to $240MOct 31, 2025 to Mar 30, 2026
- Wrap assets (manager) · $127M to $131MOct 31, 2025 to Mar 30, 2026
- Accounts · 258 to 225Apr 9, 2024 to Mar 31, 2025
- HNW clients · 130 to 98Apr 9, 2024 to Mar 31, 2025
- Individual clients · 128 to 127Apr 9, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Apr 9, 2024 to Mar 31, 2025
- Discretionary RAUM · $248M to $237MApr 9, 2024 to Mar 31, 2025
- HNW RAUM · $198M to $178MApr 9, 2024 to Mar 31, 2025
- Individual RAUM · $34.8M to $44.2MApr 9, 2024 to Mar 31, 2025
- Pension RAUM · $6.9M to $7.3MApr 9, 2024 to Mar 31, 2025
- RAUM · $248M to $237MApr 9, 2024 to Mar 31, 2025
- Wrap assets (manager) · $138M to $127MApr 9, 2024 to Mar 31, 2025
- Accounts · 307 to 258Mar 30, 2023 to Apr 9, 2024
- HNW clients · 137 to 130Mar 30, 2023 to Apr 9, 2024
- Individual clients · 164 to 128Mar 30, 2023 to Apr 9, 2024
- Discretionary RAUM · $236M to $248MMar 30, 2023 to Apr 9, 2024
- HNW RAUM · $185M to $198MMar 30, 2023 to Apr 9, 2024
- Individual RAUM · $36.6M to $34.8MMar 30, 2023 to Apr 9, 2024
- Pension RAUM · $6.2M to $6.9MMar 30, 2023 to Apr 9, 2024
- RAUM · $236M to $248MMar 30, 2023 to Apr 9, 2024
- Wrap assets (manager) · $126M to $138MMar 30, 2023 to Apr 9, 2024
- Accounts · 302 to 307Mar 17, 2022 to Mar 30, 2023
- Advisory activities · 3 to 2Mar 17, 2022 to Mar 30, 2023
- Individual clients · 159 to 164Mar 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $265M to $236MMar 17, 2022 to Mar 30, 2023
- HNW RAUM · $209M to $185MMar 17, 2022 to Mar 30, 2023
- Individual RAUM · $39.9M to $36.6MMar 17, 2022 to Mar 30, 2023
- Pension RAUM · $6.5M to $6.2MMar 17, 2022 to Mar 30, 2023
- RAUM · $265M to $236MMar 17, 2022 to Mar 30, 2023
- Wrap assets (manager) · $139M to $126MMar 17, 2022 to Mar 30, 2023
- Accounts · 281 to 302Aug 31, 2021 to Mar 17, 2022
- HNW clients · 131 to 137Aug 31, 2021 to Mar 17, 2022
- Individual clients · 146 to 159Aug 31, 2021 to Mar 17, 2022
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
- 770-988-9556reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- E•••H••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-988-9556reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- e••••••••.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
- $80.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026