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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Former SEC-registered adviser
O•••••••• P•••••••• L•••
Legal name L•••••• C•••••• M••••••••• I••
Latest filing Feb 16, 2022
First filing on the tape Mar 21, 2012 · 35 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.2B as of Feb 16, 2022
Mar 21, 2012$218M then
HNW client RAUM$1.1B as of Feb 16, 2022
Mar 5, 2018$525M then
State-registered IARs (5.B.3)7 as of Feb 16, 2022
Feb 22, 20134 then
Employees (5.A)10 as of Feb 16, 2022
Feb 22, 20136 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Feb 16, 2022; every figure names its basis
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $626,700derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $226M, 157 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$1.1B88%
- Individuals$98.3M8.1%
- Corporations and businesses$21.9M1.8%
- Charitable organizations$21.7M1.8%
- Individual clients
- 204reported
- HNW clients
- 315reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,930reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $226M for 157 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
- W•••••• J••••• C•••• to A•••••• W•••••Jun 7, 2022 · Other
- S••• P•••••• L••••• to A•••••• W•••••Jun 7, 2022 · Other
- J••••••• I•••• S••••• to A•••••• W•••••Jun 7, 2022 · Other
- C•••••• B•••••• D•••• to A•••••• W•••••Jun 7, 2022 · Other
- C••• P••••• M••••••••• to M••••••• W••••• M••••••••• L••Oct 25, 2018 · RIA to RIA
- M•••••• J•••••• H•••••• to M••••• W••••• M••••••••• L•••••Jan 4, 2007 · Other
Joined, latest
- S••• P•••••• L••••• from N••••••••• M••••• I••••••••• S•••••••••Feb 7, 2019 · Other
- C•••••• B•••••• D•••• from A••••••• S••••••• N••••••Oct 28, 2015 · Other
- M•••••• J•••••• H•••••• from N•••••••• B••••• B• L••Sep 21, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for A•••••• W•••••Jun 7, 2022 · Atlanta, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• W••••••• J••••• · Principalcontrolsince 03/2010 · owns 25% to 50%
- W•••• W•••••• W••••••••• · Presidentcontrolsince 08/2005 · owns less than 5%
- D••••• C••••••• B•••••• · Principalsince 10/2015 · owns 10% to 25%
- S•••••• J•••••••• I•••• · Principalsince 04/2013 · owns 10% to 25%
- T••••• E•••• B•••• · Principalsince 10/2015 · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••••• W•••••investment advisernRAUM $202M
Offices
Schedule D 1.F, the 25 largest
- Decatur, GA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,744 to 1,930Jan 31, 2022 to Feb 16, 2022
- Advisory employees · 9 to 8Jan 31, 2022 to Feb 16, 2022
- Charity clients · 20.0 to unsetJan 31, 2022 to Feb 16, 2022
- Corporate clients · unset to 12.0Jan 31, 2022 to Feb 16, 2022
- HNW clients · 270 to 315Jan 31, 2022 to Feb 16, 2022
- Individual clients · 186 to 204Jan 31, 2022 to Feb 16, 2022
- Assets in custody · $198M to $226MJan 31, 2022 to Feb 16, 2022
- Custody of client assets · false to trueJan 31, 2022 to Feb 16, 2022
- Employees · 11 to 10Jan 31, 2022 to Feb 16, 2022
- Discretionary RAUM · $972M to $1.2BJan 31, 2022 to Feb 16, 2022
- HNW RAUM · $837M to $1.1BJan 31, 2022 to Feb 16, 2022
- Individual RAUM · $105M to $98.3MJan 31, 2022 to Feb 16, 2022
- Non-discretionary RAUM · $13.2M to $13.6MJan 31, 2022 to Feb 16, 2022
- RAUM · $985M to $1.2BJan 31, 2022 to Feb 16, 2022
- Accounts · 1,673 to 1,744Jan 11, 2021 to Feb 23, 2021
- Advisory employees · 8 to 9Jan 11, 2021 to Feb 23, 2021
- Charity clients · 16 to 20Jan 11, 2021 to Feb 23, 2021
- HNW clients · 245 to 270Jan 11, 2021 to Feb 23, 2021
- Individual clients · 217 to 186Jan 11, 2021 to Feb 23, 2021
- Assets in custody · $201M to $198MJan 11, 2021 to Feb 23, 2021
- Employees · 10 to 11Jan 11, 2021 to Feb 23, 2021
- State-registered IARs · 8 to 7Jan 11, 2021 to Feb 23, 2021
- Discretionary RAUM · $868M to $972MJan 11, 2021 to Feb 23, 2021
- HNW RAUM · $718M to $837MJan 11, 2021 to Feb 23, 2021
- Individual RAUM · $120M to $105MJan 11, 2021 to Feb 23, 2021
- Non-discretionary RAUM · $17.6M to $13.2MJan 11, 2021 to Feb 23, 2021
- RAUM · $886M to $985MJan 11, 2021 to Feb 23, 2021
- Other offices · 3 to 2Jul 13, 2020 to Jan 11, 2021
- Accounts · 1,575 to 1,673Sep 23, 2019 to Feb 6, 2020
- Advisory employees · 9 to 8Sep 23, 2019 to Feb 6, 2020
- HNW clients · 205 to 245Sep 23, 2019 to Feb 6, 2020
- Individual clients · 209 to 217Sep 23, 2019 to Feb 6, 2020
- Assets in custody · $147M to $201MSep 23, 2019 to Feb 6, 2020
- Employees · 11 to 10Sep 23, 2019 to Feb 6, 2020
- State-registered IARs · 7 to 8Sep 23, 2019 to Feb 6, 2020
- Other offices · 2 to 3Sep 23, 2019 to Feb 6, 2020
- Discretionary RAUM · $700M to $868MSep 23, 2019 to Feb 6, 2020
- HNW RAUM · $551M to $718MSep 23, 2019 to Feb 6, 2020
- Individual RAUM · $122M to $120MSep 23, 2019 to Feb 6, 2020
- Non-discretionary RAUM · $15.3M to $17.6MSep 23, 2019 to Feb 6, 2020
Signals
5 dated events
- J••••••• I•••• S••••• left O•••••••• P•••••••• L••• for A•••••• W••••• (registered 2020-02-04)Jun 7, 2022 · Advisor changed firm · fact
- S••• P•••••• L••••• left O•••••••• P•••••••• L••• for A•••••• W••••• (registered 2020-01-16)Jun 7, 2022 · Advisor changed firm · fact
- C•••••• B•••••• D•••• left O•••••••• P•••••••• L••• for A•••••• W••••• (registered 2020-02-04)Jun 7, 2022 · Advisor changed firm · fact
- W•••••• J••••• C•••• left O•••••••• P•••••••• L••• for A•••••• W••••• (registered 2020-02-04)Jun 7, 2022 · Advisor changed firm · fact
- O•••••••• P•••••••• L•••'s advisors moved to A•••••• W••••• (Atlanta, GA): 4 of 4 registered, on the same dayJun 7, 2022 · Firm absorbed (people side) · derived
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