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Former SEC-registered adviser

C•••••••• I••••••••• C•••••• I••

Former SEC-registered adviserAtlanta, GeorgiaCRD 107852SEC 801-36918website IAPD

Latest filing Mar 28, 2025

First filing on the tape Nov 9, 2011 · 27 filings

SEC status approved since Apr 30, 1990

RAUM

$199M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$199M as of Mar 28, 2025

Mar 30, 2012$693M then

HNW client RAUM$0 as of Mar 28, 2025

Feb 14, 2018$920M then

State-registered IARs (5.B.3)0 as of Mar 28, 2025

Apr 1, 20130 then

Employees (5.A)4 as of Mar 28, 2025

Apr 1, 201313 then

Private funds1 as of Apr 1, 2013

Mar 30, 20121 then

RAUM -84% over the last fiscal year-46% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 28, 2025; 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: $199MderivedRAUM 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: -84%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -100%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)
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

Investment companies$199M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: reported
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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••• E••••• F•••• L•no longer reported	Hedge Fund	$1.6M	1	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

C•••• J••••• C••••• · Ceo, Chief Investment Officercontrol
since 08/2007 · owns 10% to 25%
H••••••• J•••• A•••• · Chief Compliance Officercontrol
since 10/2004 · owns 5% to 10%
Q••••• T•••••• E••••• · Cfo, Chairman Of The Boardcontrol
since 12/1989 · owns 25% to 50%
M••••••• J••••••• P••••• · Director Of Research
since 03/2014 · owns 5% to 10%

Related persons

Schedule D 7.A

No related person reported.

Advisers that list C•••••••• I••••••••• C•••••• I•• as a related person

169910 n
300032 y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2 to 1
Dec 18, 2024 to Mar 28, 2025
Financial planning clients · unset to
Dec 18, 2024 to Mar 28, 2025
Discretionary RAUM · $347M to $199M
Dec 18, 2024 to Mar 28, 2025
RAUM · $347M to $199M
Dec 18, 2024 to Mar 28, 2025
Accounts · 551 to 2
May 2, 2024 to Oct 22, 2024
Advisory employees · 14 to 3
May 2, 2024 to Oct 22, 2024
Advisory activities · 6 to 1
May 2, 2024 to Oct 22, 2024
Charity clients · 15 to 0
May 2, 2024 to Oct 22, 2024
Corporate clients · 4 to 0
May 2, 2024 to Oct 22, 2024
HNW clients · 470 to 0
May 2, 2024 to Oct 22, 2024
Individual clients · 39 to 0
May 2, 2024 to Oct 22, 2024
Pension plan clients · 10 to 0
May 2, 2024 to Oct 22, 2024
Employees · 21 to 4
May 2, 2024 to Oct 22, 2024
Financial planning clients · 1-10 to unset
May 2, 2024 to Oct 22, 2024
Discretionary RAUM · $1.2B to $347M
May 2, 2024 to Oct 22, 2024
HNW RAUM · $710M to $0
May 2, 2024 to Oct 22, 2024
Individual RAUM · $2.8M to $0
May 2, 2024 to Oct 22, 2024
Pension RAUM · $13.5M to $0
May 2, 2024 to Oct 22, 2024
RAUM · $1.2B to $347M
May 2, 2024 to Oct 22, 2024
Accounts · 1,145 to 551
Mar 31, 2023 to Mar 28, 2024
Charity clients · 17 to 15
Mar 31, 2023 to Mar 28, 2024
Corporate clients · 3 to 4
Mar 31, 2023 to Mar 28, 2024
HNW clients · 484 to 470
Mar 31, 2023 to Mar 28, 2024
Individual clients · 55 to 39
Mar 31, 2023 to Mar 28, 2024
Pension plan clients · 13 to 10
Mar 31, 2023 to Mar 28, 2024
Employees · 22 to 21
Mar 31, 2023 to Mar 28, 2024
Discretionary RAUM · $1.1B to $1.2B
Mar 31, 2023 to Mar 28, 2024
HNW RAUM · $764M to $710M
Mar 31, 2023 to Mar 28, 2024
Individual RAUM · $3.9M to $2.8M
Mar 31, 2023 to Mar 28, 2024
Pension RAUM · $23.2M to $13.5M
Mar 31, 2023 to Mar 28, 2024
RAUM · $1.1B to $1.2B
Mar 31, 2023 to Mar 28, 2024
Accounts · 597 to 1,145
Mar 30, 2022 to Mar 31, 2023
Advisory activities · 5 to 6
Mar 30, 2022 to Mar 31, 2023
Charity clients · 14 to 17
Mar 30, 2022 to Mar 31, 2023
Corporate clients · 6 to 3
Mar 30, 2022 to Mar 31, 2023
HNW clients · 493 to 484
Mar 30, 2022 to Mar 31, 2023
Individual clients · 68 to 55
Mar 30, 2022 to Mar 31, 2023
Employees · 21 to 22
Mar 30, 2022 to Mar 31, 2023
Discretionary RAUM · $1.3B to $1.1B
Mar 30, 2022 to Mar 31, 2023
HNW RAUM · $878M to $764M
Mar 30, 2022 to Mar 31, 2023

Signals

6 dated events

C•••••••• I••••••••• C•••••• I•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $199.2M)
Apr 1, 2026 · Left the SEC roster · derived
C•••••••• I••••••••• C•••••• I•• reported RAUM $199.2M, down 43% from $347.0M (2024-12-18 to 2025-03-28)
Mar 28, 2025 · RAUM change · derived
C•••••••• I••••••••• C•••••• I•• reported RAUM $347.0M, down 71% from $1.2B (2024-05-02 to 2024-10-22)
Oct 22, 2024 · RAUM change · derived
Thomas Richard Bean (Senior Vice President) no longer on Schedule A of C•••••••• I••••••••• C•••••• I•• (listed 2024-05-02, absent 2024-10-22)
Oct 22, 2024 · Control person left · inference
Donald Peebles (Senior Vice President) no longer on Schedule A of C•••••••• I••••••••• C•••••• I•• (listed 2024-05-02, absent 2024-10-22)
Oct 22, 2024 · Control person left · inference
C•••••••• I••••••••• C•••••• I•• reported RAUM $1.2B, up 28% from $962.0M (2017-03-24 to 2018-02-14)
Feb 14, 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