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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••• R••• P•••••••

Former SEC-registered adviserAtlanta, GeorgiaCRD 108747SEC 801-32023IAPD
Legal name D•••• C••• • A••••••••• I•••
Latest filing Mar 21, 2019
First filing on the tape Mar 20, 2012 · 12 filings
RAUM
$309M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
86%
$267M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$5.0M gross assets
History
12 filings and snapshots on the tape
RAUM$309M as of Mar 21, 2019
Mar 20, 2012$213M then
HNW client RAUM$255M as of Mar 21, 2019
Mar 20, 2018$296M then
State-registered IARs (5.B.3)4 as of Mar 21, 2019
Mar 20, 20120 then
Employees (5.A)6 as of Mar 21, 2019
Feb 22, 20134 then
Private funds1 as of Mar 21, 2019
Mar 20, 20121 then
RAUM -13% over the last fiscal year+8.8% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 21, 2019; every figure names its basis
RAUM per advisor
$77.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$573,600derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+30%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$91.3M, 70 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$255M82%
  • Pension and profit-sharing plans$20.7M6.7%
  • Pooled investment vehicles$13.1M4.2%
  • Individuals$12.0M3.9%
  • Charitable organizations$4.8M1.6%
  • Corporations and businesses$3.7M1.2%
Individual clients
44reported
HNW clients
124reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
539reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$91.3M for 70 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••• S•••• P•••••• · Owner, President, Chief Compliance Officercontrol
    since 11/2000 · 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 · 542 to 539
    Mar 20, 2018 to Mar 21, 2019
  • Advisory employees · 5 to 4
    Mar 20, 2018 to Mar 21, 2019
  • HNW clients · 91 to 124
    Mar 20, 2018 to Mar 21, 2019
  • Individual clients · 38 to 44
    Mar 20, 2018 to Mar 21, 2019
  • Assets in custody · $143M to $91.3M
    Mar 20, 2018 to Mar 21, 2019
  • Employees · 8 to 6
    Mar 20, 2018 to Mar 21, 2019
  • State-registered IARs · 5 to 4
    Mar 20, 2018 to Mar 21, 2019
  • Discretionary RAUM · $333M to $306M
    Mar 20, 2018 to Mar 21, 2019
  • HNW RAUM · $296M to $255M
    Mar 20, 2018 to Mar 21, 2019
  • Individual RAUM · $13.8M to $12.0M
    Mar 20, 2018 to Mar 21, 2019
  • Non-discretionary RAUM · $23.0M to $3.6M
    Mar 20, 2018 to Mar 21, 2019
  • Pension RAUM · $22.6M to $20.7M
    Mar 20, 2018 to Mar 21, 2019
  • Pooled vehicle RAUM · $13.7M to $13.1M
    Mar 20, 2018 to Mar 21, 2019
  • RAUM · $356M to $309M
    Mar 20, 2018 to Mar 21, 2019
  • Accounts · 511 to 542
    Apr 19, 2017 to Mar 20, 2018
  • Advisory employees · 4 to 5
    Apr 19, 2017 to Mar 20, 2018
  • HNW clients · unset to 91.0
    Apr 19, 2017 to Mar 20, 2018
  • Individual clients · unset to 38.0
    Apr 19, 2017 to Mar 20, 2018
  • Pooled vehicle clients · unset to 3.0
    Apr 19, 2017 to Mar 20, 2018
  • Assets in custody · $13.4M to $143M
    Apr 19, 2017 to Mar 20, 2018
  • Employees · 7 to 8
    Apr 19, 2017 to Mar 20, 2018
  • State-registered IARs · 4 to 5
    Apr 19, 2017 to Mar 20, 2018
  • Other offices · unset to 0.0
    Apr 19, 2017 to Mar 20, 2018
  • Discretionary RAUM · $247M to $333M
    Apr 19, 2017 to Mar 20, 2018
  • HNW RAUM · unset to 296198553.0
    Apr 19, 2017 to Mar 20, 2018
  • Individual RAUM · unset to 13759151.0
    Apr 19, 2017 to Mar 20, 2018
  • Non-discretionary RAUM · $31.1M to $23.0M
    Apr 19, 2017 to Mar 20, 2018
  • Pension RAUM · unset to 22612780.0
    Apr 19, 2017 to Mar 20, 2018
  • Pooled vehicle RAUM · unset to 13718534.0
    Apr 19, 2017 to Mar 20, 2018
  • RAUM · $279M to $356M
    Apr 19, 2017 to Mar 20, 2018
  • Accounts · 494 to 511
    Jul 25, 2016 to Mar 30, 2017
  • Advisory employees · 2 to 4
    Jul 25, 2016 to Mar 30, 2017
  • Business name · D•• G••••• I••••••••• M••••••••• to C•••• R••• P•••••••
    Jul 25, 2016 to Mar 30, 2017
  • Assets in custody · $15.9M to $13.4M
    Jul 25, 2016 to Mar 30, 2017
  • Employees · 6 to 7
    Jul 25, 2016 to Mar 30, 2017
  • State-registered IARs · 0 to 4
    Jul 25, 2016 to Mar 30, 2017
  • Discretionary RAUM · $213M to $247M
    Jul 25, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $54.7M to $31.1M
    Jul 25, 2016 to Mar 30, 2017
  • RAUM · $268M to $279M
    Jul 25, 2016 to Mar 30, 2017
  • Accounts · 497 to 494
    Mar 18, 2016 to Jul 25, 2016
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