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

R•••••• F•••••••• I••

Former SEC-registered adviserAtlanta, GeorgiaCRD 106896SEC 801-36942IAPD
Latest filing Mar 25, 2021
First filing on the tape Nov 17, 2011 · 12 filings
RAUM
$954M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$928M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$954M as of Mar 25, 2021
Mar 27, 2012$142M then
HNW client RAUM$709M as of Mar 25, 2021
Mar 23, 2018$310M then
State-registered IARs (5.B.3)7 as of Mar 25, 2021
Mar 25, 20133 then
Employees (5.A)10 as of Mar 25, 2021
Mar 25, 20134 then
Private funds: no history
RAUM +41% over the last fiscal year+26% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 25, 2021; every figure names its basis
RAUM per advisor
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+41%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, publicationsreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$709M74%
  • Individuals$219M23%
  • Pension and profit-sharing plans$24.6M2.6%
  • Corporations and businesses$1.6M0.2%
Individual clients
610reported
HNW clients
262reported
Pension plan clients
19reported
Charitable clients
0reported
Accounts
893reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••••• J•••••• R••••• · President/Ceocontrol
      since 01/1990 · owns 75% or more
    • S••••••• R•••••• E•••• · Investment Advisor Repcontrol
      since 01/1999 · owns 10% to 25%
    • W•••••• E•••••• J• · Chief Compliance Officercontrol
      since 12/2004 · owns 10% to 25%
    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 · 815 to 893
      Jun 24, 2020 to Mar 25, 2021
    • HNW clients · 209 to 262
      Jun 24, 2020 to Mar 25, 2021
    • Individual clients · 604 to 610
      Jun 24, 2020 to Mar 25, 2021
    • Pension plan clients · 0 to 19
      Jun 24, 2020 to Mar 25, 2021
    • Employees · 11 to 10
      Jun 24, 2020 to Mar 25, 2021
    • Discretionary RAUM · $675M to $954M
      Jun 24, 2020 to Mar 25, 2021
    • HNW RAUM · $486M to $709M
      Jun 24, 2020 to Mar 25, 2021
    • Individual RAUM · $188M to $219M
      Jun 24, 2020 to Mar 25, 2021
    • Pension RAUM · $0 to $24.6M
      Jun 24, 2020 to Mar 25, 2021
    • RAUM · $675M to $954M
      Jun 24, 2020 to Mar 25, 2021
    • Accounts · 732 to 815
      Mar 26, 2019 to Mar 27, 2020
    • HNW clients · 127 to 209
      Mar 26, 2019 to Mar 27, 2020
    • Individual clients · 603 to 604
      Mar 26, 2019 to Mar 27, 2020
    • Employees · 9 to 11
      Mar 26, 2019 to Mar 27, 2020
    • Discretionary RAUM · $477M to $675M
      Mar 26, 2019 to Mar 27, 2020
    • HNW RAUM · $290M to $486M
      Mar 26, 2019 to Mar 27, 2020
    • Individual RAUM · $186M to $188M
      Mar 26, 2019 to Mar 27, 2020
    • RAUM · $477M to $675M
      Mar 26, 2019 to Mar 27, 2020
    • Accounts · 618 to 732
      Mar 23, 2018 to Mar 26, 2019
    • Charity clients · unset to 0.0
      Mar 23, 2018 to Mar 26, 2019
    • Corporate clients · unset to 0.0
      Mar 23, 2018 to Mar 26, 2019
    • HNW clients · 129 to 127
      Mar 23, 2018 to Mar 26, 2019
    • Individual clients · 487 to 603
      Mar 23, 2018 to Mar 26, 2019
    • Pension plan clients · unset to 0.0
      Mar 23, 2018 to Mar 26, 2019
    • Pooled vehicle clients · unset to 0.0
      Mar 23, 2018 to Mar 26, 2019
    • Discretionary RAUM · $480M to $477M
      Mar 23, 2018 to Mar 26, 2019
    • HNW RAUM · $310M to $290M
      Mar 23, 2018 to Mar 26, 2019
    • Individual RAUM · $170M to $186M
      Mar 23, 2018 to Mar 26, 2019
    • RAUM · $480M to $477M
      Mar 23, 2018 to Mar 26, 2019
    • Accounts · 620 to 618
      Mar 28, 2017 to Mar 23, 2018
    • Advisory employees · 5 to 7
      Mar 28, 2017 to Mar 23, 2018
    • HNW clients · unset to 129.0
      Mar 28, 2017 to Mar 23, 2018
    • Individual clients · unset to 487.0
      Mar 28, 2017 to Mar 23, 2018
    • Employees · 7 to 9
      Mar 28, 2017 to Mar 23, 2018
    • Financial planning clients · 101-250 to 251-500
      Mar 28, 2017 to Mar 23, 2018
    • State-registered IARs · 5 to 7
      Mar 28, 2017 to Mar 23, 2018
    • Other offices · unset to 0.0
      Mar 28, 2017 to Mar 23, 2018
    • Discretionary RAUM · $362M to $480M
      Mar 28, 2017 to Mar 23, 2018
    • HNW RAUM · unset to 310111873.0
      Mar 28, 2017 to Mar 23, 2018
    • Individual RAUM · unset to 169790276.0
      Mar 28, 2017 to Mar 23, 2018
    Signals
    3 dated events
    • R•••••• F•••••••• I•• reported RAUM $953.8M, up 41% from $674.7M (2020-06-24 to 2021-03-25)
      Mar 25, 2021 · RAUM change · derived
    • R•••••• F•••••••• I•• reported RAUM $674.7M, up 41% from $477.1M (2019-03-26 to 2020-03-27)
      Mar 27, 2020 · RAUM change · derived
    • R•••••• F•••••••• I•• reported RAUM $480.1M, up 33% from $361.7M (2017-03-28 to 2018-03-23)
      Mar 23, 2018 · RAUM change · 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