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

J•• H••••••• C•••

Former SEC-registered adviserAtlanta, GeorgiaCRD 108510SEC 801-27781IAPD
Latest filing Mar 30, 2017
First filing on the tape Feb 8, 2012 · 22 filings
RAUM
$94.7M
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
28
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$94.7M as of Mar 30, 2017
Feb 8, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Mar 30, 2017
Feb 6, 20136 then
Employees (5.A)28 as of Mar 30, 2017
Feb 6, 201321 then
Private funds: no history
RAUM -97% over the last fiscal year-69% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$6.8MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%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
90reported
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
Left, latest
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••••••••• J••••• F•••••• · President, Ceo, Cfo, Cio, Coocontrol
      since 06/1986 · owns 75% or more
    • M••••••• J••••• A•• · Operations And Compliance Manager/Corporate Secretarycontrol
      since 10/2004 · owns less than 5%
    • T••••••• B••••••• J•••• · Chief Compliance Officercontrol
      since 01/2013 · owns less than 5%
    • B••••••••• S••••••• W• · T••••••
      since 06/2016 · owns F of The S••• S•••• Trust
    Entity owners
    • T•• S••• S•••• T••••• S•••••• W• B•••••••• T•••••• · Trust
      direct · owns 5% to 10%
    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 · 157 to 90
      Dec 21, 2016 to Mar 30, 2017
    • Employees · 29 to 28
      Dec 21, 2016 to Mar 30, 2017
    • Insurance-licensed employees · 0 to 14
      Dec 21, 2016 to Mar 30, 2017
    • Discretionary RAUM · $136M to $94.7M
      Dec 21, 2016 to Mar 30, 2017
    • RAUM · $136M to $94.7M
      Dec 21, 2016 to Mar 30, 2017
    • Accounts · 3,251 to 157
      Oct 5, 2016 to Dec 21, 2016
    • Discretionary RAUM · $2.4B to $136M
      Oct 5, 2016 to Dec 21, 2016
    • RAUM · $2.4B to $136M
      Oct 5, 2016 to Dec 21, 2016
    • Accounts · 8,171 to 3,251
      Jun 30, 2016 to Oct 5, 2016
    • Advisory activities · 3 to 2
      Jun 30, 2016 to Oct 5, 2016
    • Discretionary RAUM · $3.7B to $2.4B
      Jun 30, 2016 to Oct 5, 2016
    • RAUM · $3.7B to $2.4B
      Jun 30, 2016 to Oct 5, 2016
    • Business name · E••••• I••••••••• C••• to J•• H••••••• C•••
      Oct 5, 2016 to Oct 5, 2016
    • Legal name · E••••• I••••••••• C•••ORATION to J•• H••••••• C•••
      Oct 5, 2016 to Oct 5, 2016
    • Accounts · 8,063 to 8,171
      Mar 17, 2015 to Mar 2, 2016
    • Advisory activities · 4 to 3
      Mar 17, 2015 to Mar 2, 2016
    • BD registered reps · 10 to 11
      Mar 17, 2015 to Mar 2, 2016
    • Employees · 26 to 29
      Mar 17, 2015 to Mar 2, 2016
    • State-registered IARs · 13 to 14
      Mar 17, 2015 to Mar 2, 2016
    • Discretionary RAUM · $3.9B to $3.7B
      Mar 17, 2015 to Mar 2, 2016
    • RAUM · $3.9B to $3.7B
      Mar 17, 2015 to Mar 2, 2016
    • Accounts · 7,332 to 8,063
      Feb 27, 2014 to Mar 17, 2015
    • BD registered reps · 9 to 10
      Feb 27, 2014 to Mar 17, 2015
    • Employees · 24 to 26
      Feb 27, 2014 to Mar 17, 2015
    • State-registered IARs · 11 to 13
      Feb 27, 2014 to Mar 17, 2015
    • Discretionary RAUM · $3.0B to $3.9B
      Feb 27, 2014 to Mar 17, 2015
    • Non-discretionary RAUM · $307M to $0
      Feb 27, 2014 to Mar 17, 2015
    • RAUM · $3.3B to $3.9B
      Feb 27, 2014 to Mar 17, 2015
    • Accounts · 6,458 to 7,332
      Sep 26, 2013 to Feb 27, 2014
    • Advisory activities · 3 to 4
      Sep 26, 2013 to Feb 27, 2014
    • BD registered reps · 7 to 9
      Sep 26, 2013 to Feb 27, 2014
    • Employees · 22 to 24
      Sep 26, 2013 to Feb 27, 2014
    • State-registered IARs · 7 to 11
      Sep 26, 2013 to Feb 27, 2014
    • Discretionary RAUM · $2.6B to $3.0B
      Sep 26, 2013 to Feb 27, 2014
    • Non-discretionary RAUM · $277M to $307M
      Sep 26, 2013 to Feb 27, 2014
    • RAUM · $2.9B to $3.3B
      Sep 26, 2013 to Feb 27, 2014
    • Accounts · 5,422 to 6,458
      Feb 7, 2013 to Jul 29, 2013
    • Employees · 21 to 22
      Feb 7, 2013 to Jul 29, 2013
    • State-registered IARs · 6 to 7
      Feb 7, 2013 to Jul 29, 2013
    • Discretionary RAUM · $2.1B to $2.6B
      Feb 7, 2013 to Jul 29, 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