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
A••••• I••••••••• C••••••
Latest filing Mar 30, 2026
First filing on the tape Jun 7, 2012 · 21 filings
SEC status approved since Jan 4, 2001
RAUM
$253M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
53%
$133M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$126M
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$253M as of Mar 30, 2026
Jun 7, 2012$189M then
HNW client RAUM$133M as of Mar 30, 2026
Mar 30, 2018$28.7M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Jun 7, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Mar 28, 20132 then
Private funds: no history
RAUM n/a over the last fiscal year+9.9% a year over three
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $24.8M, 30 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$133M54%
- Other investment advisers$115M46%
- Individual clients
- n/areported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 65reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.8M for 30 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.53 fund_share=0.46 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• J••• Y•••••Chartered Financial Analyst | Atlanta, Ga | Oct 28, 2011 | 35 y | 0 |
| M•••••• T••••• D•••• | Atlanta, Ga | Feb 22, 2012 | 24 y | 1 |
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
- M•••••• T••••• D•••• from V••••• C•••••• S••••••••• L••Feb 22, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M••••••• T••••• · Votingcontrolsince 01/2009 · owns 25% to 50%
- Y•••••• D••••• J••• · President/Ccocontrolsince 12/2000 · 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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Nov 4, 2025 to Mar 30, 2026
- Assets in custody · $29.2M to $24.8MNov 4, 2025 to Mar 30, 2026
- Employees · 4 to 3Nov 4, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 26-50Nov 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $233M to $249MNov 4, 2025 to Mar 30, 2026
- HNW RAUM · $128M to $133MNov 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.8M to $4.2MNov 4, 2025 to Mar 30, 2026
- RAUM · $237M to $253MNov 4, 2025 to Mar 30, 2026
- Accounts · 61 to 65Oct 16, 2024 to May 5, 2025
- HNW clients · 48 to 53Oct 16, 2024 to May 5, 2025
- Assets in custody · $30.0M to $29.2MOct 16, 2024 to May 5, 2025
- Financial planning clients · 26-50 to 51-100Oct 16, 2024 to May 5, 2025
- Discretionary RAUM · $215M to $233MOct 16, 2024 to May 5, 2025
- HNW RAUM · $116M to $128MOct 16, 2024 to May 5, 2025
- Non-discretionary RAUM · $4.6M to $4.8MOct 16, 2024 to May 5, 2025
- RAUM · $219M to $237MOct 16, 2024 to May 5, 2025
- Assets in custody · unset to 30006427.0Mar 11, 2024 to Oct 16, 2024
- Custody of client assets · false to trueMar 11, 2024 to Oct 16, 2024
- Accounts · 57 to 61Mar 17, 2023 to Mar 11, 2024
- HNW clients · 44 to 48Mar 17, 2023 to Mar 11, 2024
- Employees · 3 to 4Mar 17, 2023 to Mar 11, 2024
- Financial planning clients · 11-25 to 26-50Mar 17, 2023 to Mar 11, 2024
- Discretionary RAUM · $187M to $215MMar 17, 2023 to Mar 11, 2024
- HNW RAUM · $102M to $116MMar 17, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $3.3M to $4.6MMar 17, 2023 to Mar 11, 2024
- RAUM · $190M to $219MMar 17, 2023 to Mar 11, 2024
- Accounts · 60 to 57Mar 4, 2022 to Mar 17, 2023
- HNW clients · 48 to 44Mar 4, 2022 to Mar 17, 2023
- Discretionary RAUM · $215M to $187MMar 4, 2022 to Mar 17, 2023
- HNW RAUM · $116M to $102MMar 4, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $3.9M to $3.3MMar 4, 2022 to Mar 17, 2023
- RAUM · $219M to $190MMar 4, 2022 to Mar 17, 2023
- Accounts · 142 to 60Mar 8, 2021 to Mar 4, 2022
- HNW clients · 42 to 48Mar 8, 2021 to Mar 4, 2022
- Discretionary RAUM · $166M to $215MMar 8, 2021 to Mar 4, 2022
- HNW RAUM · $87.5M to $116MMar 8, 2021 to Mar 4, 2022
- Non-discretionary RAUM · $2.9M to $3.9MMar 8, 2021 to Mar 4, 2022
- RAUM · $169M to $219MMar 8, 2021 to Mar 4, 2022
- Wrap assets (manager) · 15279154.0 to unsetMar 8, 2021 to Mar 4, 2022
- Wrap assets (sponsor) · 0.0 to unsetMar 8, 2021 to Mar 4, 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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 770-226-5323reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A•••••-INVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 770.226.5323reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026