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
C••••••••• F•••••••• P••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Nov 14, 2011 · 21 filings
SEC status approved since Apr 23, 2018
RAUM
$228M
reported, Item 5.F
Discretionary
1.7%
of RAUM
Private clients
98%
$223M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$228M as of Mar 31, 2026
Mar 29, 2012$50.3M then
HNW client RAUM$195M as of Mar 31, 2026
Mar 29, 2019$85.2M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 29, 20194 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $720,351derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.7%derivedof RAUM
- Institutional
- 1.7%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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$195M85%
- Individuals$28.4M12%
- Pension and profit-sharing plans$3.8M1.7%
- Corporations and businesses$938,1000.4%
- Individual clients
- 66reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 316reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P•••••• A••••••Certified Financial Planner | Roswell, Ga | Apr 2, 2014 | 20 y | 0 |
| K•••• M•••• G••••Certified Financial Planner | Roswell, Ga | Jul 11, 2018 | 13 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• M••••••• P•••••• · Chief Compliance Officer/President/Corp Secretarycontrolsince 09/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Roswell, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 314 to 316Oct 17, 2025 to Mar 31, 2026
- Individual clients · 61 to 66Oct 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.0M to $3.8MOct 17, 2025 to Mar 31, 2026
- HNW RAUM · $168M to $195MOct 17, 2025 to Mar 31, 2026
- Individual RAUM · $29.6M to $28.4MOct 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $199M to $224MOct 17, 2025 to Mar 31, 2026
- Pension RAUM · $5.0M to $3.8MOct 17, 2025 to Mar 31, 2026
- RAUM · $204M to $228MOct 17, 2025 to Mar 31, 2026
- Wrap assets (manager) · unset to 0.0May 22, 2025 to Oct 17, 2025
- Wrap assets (sponsor) · unset to 0.0May 22, 2025 to Oct 17, 2025
- Advisory activities · 2 to 3Mar 31, 2025 to May 22, 2025
- Financial planning clients · 51-100 to 51-100Mar 31, 2025 to May 22, 2025
- Accounts · 311 to 314Mar 27, 2024 to Mar 31, 2025
- BD registered reps · 1 to 2Mar 27, 2024 to Mar 31, 2025
- Corporate clients · 7.0 to unsetMar 27, 2024 to Mar 31, 2025
- HNW clients · 62 to 66Mar 27, 2024 to Mar 31, 2025
- Individual clients · 69 to 61Mar 27, 2024 to Mar 31, 2025
- Employees · 4 to 3Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.0M to $5.0MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $139M to $168MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $26.2M to $29.6MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $171M to $199MMar 27, 2024 to Mar 31, 2025
- Pension RAUM · $11.2M to $5.0MMar 27, 2024 to Mar 31, 2025
- RAUM · $180M to $204MMar 27, 2024 to Mar 31, 2025
- Accounts · 307 to 311Mar 30, 2023 to Mar 27, 2024
- Corporate clients · unset to 7.0Mar 30, 2023 to Mar 27, 2024
- HNW clients · 59 to 62Mar 30, 2023 to Mar 27, 2024
- Individual clients · 72 to 69Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $7.4M to $9.0MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $120M to $139MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $26.7M to $26.2MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $149M to $171MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $9.5M to $11.2MMar 30, 2023 to Mar 27, 2024
- RAUM · $156M to $180MMar 30, 2023 to Mar 27, 2024
- Accounts · 301 to 307Mar 30, 2022 to Mar 30, 2023
- HNW clients · 68 to 59Mar 30, 2022 to Mar 30, 2023
- Individual clients · 63 to 72Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $8.5M to $7.4MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $153M to $120MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $21.9M to $26.7MMar 30, 2022 to Mar 30, 2023
Signals
2 dated events
- Douglas Norman Shirley (Chief Compliance Officer/President/) no longer on Schedule A of C••••••••• F•••••••• P••••••• I•• (listed 2019-07-11, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- C••••••••• F•••••••• P••••••• I•• filed its initial SEC registration (Form ADV)Mar 28, 2018 · First SEC registration · 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
- Firm profile
- linkedin.com/company/commonwealth-financial-planners-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- commonwealthfp.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 770-399-6644reportedpublic record, Form ADV, Mar 31, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026