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

S••••••• A••••••• S••••••• I•••

Former SEC-registered adviserAtlanta, GeorgiaCRD 107741SEC 801-40286IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 16, 2012 · 9 filings
RAUM
$487M
reported, Item 5.F
Discretionary
100%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$487M as of Mar 30, 2016
Mar 16, 2012$394M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 16, 20120 then
Employees (5.A)5 as of Mar 30, 2016
Mar 27, 20137 then
Private funds: no history
RAUM -12% over the last fiscal year+2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$943,418derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • controlled by a public reporting company (10.A)
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
516reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Joined, latest
none on the tape
    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
      • B•••••• M•••• C••• · Chief Compliance Officercontrol
        since 01/2015 · owns less than 5%
      • H•••••••• M••• · Presidentcontrol
        since 11/1991 · owns 75% or more
      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 · 572 to 516
        Jun 12, 2015 to Mar 30, 2016
      • Financial planning clients · unset to 0
        Jun 12, 2015 to Mar 30, 2016
      • Discretionary RAUM · $552M to $487M
        Jun 12, 2015 to Mar 30, 2016
      • RAUM · $552M to $487M
        Jun 12, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 2
        Mar 31, 2015 to Jun 12, 2015
      • Employees · 7 to 5
        Mar 31, 2015 to Jun 12, 2015
      • Accounts · 573 to 572
        Nov 7, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 4
        Nov 7, 2014 to Mar 31, 2015
      • Discretionary RAUM · $522M to $552M
        Nov 7, 2014 to Mar 31, 2015
      • RAUM · $522M to $552M
        Nov 7, 2014 to Mar 31, 2015
      • Accounts · 539 to 573
        Oct 3, 2013 to Mar 28, 2014
      • Discretionary RAUM · $447M to $522M
        Oct 3, 2013 to Mar 28, 2014
      • RAUM · $447M to $522M
        Oct 3, 2013 to Mar 28, 2014
      • Accounts · 508 to 539
        Mar 16, 2012 to Mar 27, 2013
      • Advisory employees · unset to 3.0
        Mar 16, 2012 to Mar 27, 2013
      • Employees · unset to 7.0
        Mar 16, 2012 to Mar 27, 2013
      • Discretionary RAUM · $394M to $447M
        Mar 16, 2012 to Mar 27, 2013
      • RAUM · $394M to $447M
        Mar 16, 2012 to Mar 27, 2013
      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.
      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