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SEC-registered adviser

A•••• F•••••••• G•••• I••

Independent wealth managerAtlanta, GeorgiaCRD 108837SEC 801-118253websiteIAPD
Latest filing Mar 5, 2026
First filing on the tape Mar 27, 2012 · 12 filings
SEC status approved since Mar 17, 2020
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$224M as of Mar 5, 2026
May 2, 2012$50.9M then
HNW client RAUM$213M as of Mar 5, 2026
Feb 17, 2021$113M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
May 2, 20120 then
Employees (5.A)3 as of Mar 5, 2026
Feb 17, 20213 then
Private funds: no history
RAUM +9.0% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.6MderivedHNW RAUM over HNW clients
Average account
$900,139derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$112M, 34 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$213M95%
  • Individuals$10.9M4.9%
  • Charitable organizations$380,0850.2%
  • Corporations and businesses$248,4630.1%
Individual clients
19reported
HNW clients
46reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
249reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$112M for 34 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••••• H••••••• W•••Atlant, GaJan 30, 200339 y0
L••••••• M• E••••Certified Financial PlannerAtlanta, GaSep 3, 202320 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    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
      • E••••• L•••••••• M• · Exec Vp / Secretarycontrol
        since 09/2023 · owns 10% to 25%
      • W•••• C••••••• H••••••• · President/Chief Compliance Officercontrol
        since 09/1995 · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • custody status changedChange between filings · filing Mar 5, 2026
        custody of client assets (Item 9.A): no on the filing of 2025-03-10, yes on the filing of 2026-03-05
        peers: independent wealth managers, $100M to $500M (5,678)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 3
        Mar 10, 2025 to Mar 5, 2026
      • HNW clients · 38 to 46
        Mar 10, 2025 to Mar 5, 2026
      • Individual clients · 29 to 19
        Mar 10, 2025 to Mar 5, 2026
      • Assets in custody · unset to 112464602.0
        Mar 10, 2025 to Mar 5, 2026
      • Custody of client assets · false to true
        Mar 10, 2025 to Mar 5, 2026
      • Employees · 2 to 3
        Mar 10, 2025 to Mar 5, 2026
      • Financial planning clients · 51-100 to 26-50
        Mar 10, 2025 to Mar 5, 2026
      • Discretionary RAUM · $204M to $224M
        Mar 10, 2025 to Mar 5, 2026
      • HNW RAUM · $175M to $213M
        Mar 10, 2025 to Mar 5, 2026
      • Individual RAUM · $30.2M to $10.9M
        Mar 10, 2025 to Mar 5, 2026
      • Non-discretionary RAUM · $1.1M to $0
        Mar 10, 2025 to Mar 5, 2026
      • RAUM · $206M to $224M
        Mar 10, 2025 to Mar 5, 2026
      • Accounts · 258 to 249
        Mar 13, 2024 to Mar 10, 2025
      • HNW clients · 36 to 38
        Mar 13, 2024 to Mar 10, 2025
      • Individual clients · 34 to 29
        Mar 13, 2024 to Mar 10, 2025
      • Financial planning clients · 51-100 to 51-100
        Mar 13, 2024 to Mar 10, 2025
      • Discretionary RAUM · $182M to $204M
        Mar 13, 2024 to Mar 10, 2025
      • HNW RAUM · $153M to $175M
        Mar 13, 2024 to Mar 10, 2025
      • Individual RAUM · $30.1M to $30.2M
        Mar 13, 2024 to Mar 10, 2025
      • Non-discretionary RAUM · $1.4M to $1.1M
        Mar 13, 2024 to Mar 10, 2025
      • RAUM · $183M to $206M
        Mar 13, 2024 to Mar 10, 2025
      • Accounts · 255 to 258
        Sep 7, 2023 to Mar 13, 2024
      • HNW clients · 35 to 36
        Sep 7, 2023 to Mar 13, 2024
      • Individual clients · 35 to 34
        Sep 7, 2023 to Mar 13, 2024
      • Discretionary RAUM · $176M to $182M
        Sep 7, 2023 to Mar 13, 2024
      • HNW RAUM · $151M to $153M
        Sep 7, 2023 to Mar 13, 2024
      • Individual RAUM · $26.2M to $30.1M
        Sep 7, 2023 to Mar 13, 2024
      • Non-discretionary RAUM · $1.4M to $1.4M
        Sep 7, 2023 to Mar 13, 2024
      • RAUM · $178M to $183M
        Sep 7, 2023 to Mar 13, 2024
      • Accounts · 253 to 255
        Mar 24, 2023 to Sep 7, 2023
      • Individual clients · 34 to 35
        Mar 24, 2023 to Sep 7, 2023
      • Employees · 3 to 2
        Mar 24, 2023 to Sep 7, 2023
      • Discretionary RAUM · $162M to $176M
        Mar 24, 2023 to Sep 7, 2023
      • HNW RAUM · $140M to $151M
        Mar 24, 2023 to Sep 7, 2023
      • Individual RAUM · $22.7M to $26.2M
        Mar 24, 2023 to Sep 7, 2023
      • Non-discretionary RAUM · $1.4M to $1.4M
        Mar 24, 2023 to Sep 7, 2023
      • RAUM · $163M to $178M
        Mar 24, 2023 to Sep 7, 2023
      • Accounts · 249 to 253
        Mar 16, 2022 to Mar 24, 2023
      • HNW clients · 36 to 35
        Mar 16, 2022 to Mar 24, 2023
      • Individual clients · 33 to 34
        Mar 16, 2022 to Mar 24, 2023
      Signals
      3 dated events
      • M L••••••• E•••• (Exec Vp / Secretary) appeared on Schedule A of A•••• F•••••••• G•••• I••
        Mar 13, 2024 · Control person joined · fact
      • Alan Bruce Gaylor (Exec Vp / Secretary) no longer on Schedule A of A•••• F•••••••• G•••• I•• (listed 2023-03-24, absent 2023-09-07)
        Sep 7, 2023 · Control person left · inference
      • A•••• F•••••••• G•••• I•• filed its initial SEC registration (Form ADV)
        Feb 18, 2020 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Business phone
      877-249-2629reportedpublished by the firm, firm site, Sep 17, 2026
      Website
      A••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      770-563-8207reportedpublic record, Form ADV, Mar 5, 2026
      Contact form
      a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
      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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $112Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026