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•••••• • C••••••

Former SEC-registered adviserAtlanta, GeorgiaCRD 107716SEC 801-13578IAPD
Latest filing Feb 23, 2015
First filing on the tape Mar 23, 2012 · 6 filings
RAUM
$246M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$246M as of Feb 23, 2015
Mar 23, 2012$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 23, 2015
Mar 23, 20120 then
Employees (5.A)5 as of Feb 23, 2015
Mar 11, 20135 then
Private funds: no history
RAUM +7.8% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 2015; every figure names its basis
RAUM per advisor
$246MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$535,632derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
460reported
Financial planning clients
n/areported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••••• C••••••• R•••••• · Chief Compliance Officercontrol
      since 12/2014 · owns less than 5%
    • M•••••• J••••• T• · Partnercontrol
      since 12/1986 · owns 75% or more
    • R••••••• C••••• L• · Executrixcontrol
      since 01/2014 · owns F of E••••• O• M••• A• R••••••
    Entity owners
    • E••••• O• M••• A• R•••••• · Owner
      direct · owns less than 5%
    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 · 427 to 460
      Mar 31, 2014 to Feb 23, 2015
    • Employees · 4 to 5
      Mar 31, 2014 to Feb 23, 2015
    • Organization form · Partnership to Limited Liability Company
      Mar 31, 2014 to Feb 23, 2015
    • Discretionary RAUM · $215M to $231M
      Mar 31, 2014 to Feb 23, 2015
    • Non-discretionary RAUM · $13.5M to $15.4M
      Mar 31, 2014 to Feb 23, 2015
    • RAUM · $229M to $246M
      Mar 31, 2014 to Feb 23, 2015
    • Succession · false to true
      Mar 31, 2014 to Feb 23, 2015
    • Accounts · 399 to 427
      Mar 13, 2014 to Mar 31, 2014
    • Advisory employees · 4 to 3
      Mar 13, 2014 to Mar 31, 2014
    • Business name · R•••••• • C• I••••••••• C•••••• to R•••••• • C••••••
      Mar 13, 2014 to Mar 31, 2014
    • Employees · 5 to 4
      Mar 13, 2014 to Mar 31, 2014
    • State-registered IARs · 2 to 1
      Mar 13, 2014 to Mar 31, 2014
    • Legal name · R•••••• • C• I••••••••• C•••••• to R•••••• • C••••••
      Mar 13, 2014 to Mar 31, 2014
    • Discretionary RAUM · $183M to $215M
      Mar 13, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $14.1M to $13.5M
      Mar 13, 2014 to Mar 31, 2014
    • RAUM · $197M to $229M
      Mar 13, 2014 to Mar 31, 2014
    • Accounts · 420 to 399
      Dec 20, 2012 to Mar 11, 2013
    • Discretionary RAUM · $168M to $183M
      Dec 20, 2012 to Mar 11, 2013
    • Non-discretionary RAUM · $11.3M to $14.1M
      Dec 20, 2012 to Mar 11, 2013
    • RAUM · $180M to $197M
      Dec 20, 2012 to Mar 11, 2013
    • Advisory employees · unset to 4.0
      Mar 23, 2012 to Dec 20, 2012
    • Employees · unset to 5.0
      Mar 23, 2012 to Dec 20, 2012
    • State-registered IARs · 0 to 2
      Mar 23, 2012 to Dec 20, 2012
    Signals
    1 dated events
    • R•••••• • C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 23, 2015 · Succession (Item 4) · fact
    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