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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SEC-registered adviser
L••••••••• A•••• M••••••••• I•••
Latest filing May 22, 2026
First filing on the tape Dec 17, 2012 · 5 filings
SEC status approved since Jun 6, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$141M as of May 22, 2026
Jun 30, 2025$124M then
HNW client RAUM$6.4M as of May 22, 2026
Jun 30, 2025$9.1M then
State-registered IARs (5.B.3)1 as of May 22, 2026
Jun 30, 20251 then
Employees (5.A)1 as of May 22, 2026
Jun 30, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $428,901derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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
- Individuals$135M95%
- High-net-worth individuals$6.4M4.6%
- Individual clients
- 39reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 114reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• J• L••••••••• | Atlanta, Ga | Dec 20, 2013 | 41 y | 1 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• D••••• J• · Portfolio Manager/Chief Compliance Officercontrolsince 12/1999 · 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 · 112 to 114Jun 30, 2025 to Mar 30, 2026
- HNW clients · 26 to 15Jun 30, 2025 to Mar 30, 2026
- Individual clients · 28 to 39Jun 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $124M to $141MJun 30, 2025 to Mar 30, 2026
- HNW RAUM · $9.1M to $6.4MJun 30, 2025 to Mar 30, 2026
- Individual RAUM · $115M to $135MJun 30, 2025 to Mar 30, 2026
- RAUM · $124M to $141MJun 30, 2025 to Mar 30, 2026
- Accounts · 92 to 112Dec 17, 2012 to Jun 30, 2025
- Business name · L••••••••• A•••• M•••• I••• to L••••••••• A•••• M••••••••• I•••Dec 17, 2012 to Jun 30, 2025
- HNW clients · unset to 26.0Dec 17, 2012 to Jun 30, 2025
- Individual clients · unset to 28.0Dec 17, 2012 to Jun 30, 2025
- Financial planning clients · 0 to Dec 17, 2012 to Jun 30, 2025
- HQ city · unset to Dec 17, 2012 to Jun 30, 2025
- HQ state · unset to Dec 17, 2012 to Jun 30, 2025
- State-registered IARs · 0 to 1Dec 17, 2012 to Jun 30, 2025
- Legal name · L••••••••• A•••• M•••• I••• to L••••••••• A•••• M••••••••• I•••Dec 17, 2012 to Jun 30, 2025
- Other offices · unset to 0.0Dec 17, 2012 to Jun 30, 2025
- Discretionary RAUM · $53.0M to $124MDec 17, 2012 to Jun 30, 2025
- HNW RAUM · unset to 9127149.0Dec 17, 2012 to Jun 30, 2025
- Individual RAUM · unset to 115088407.0Dec 17, 2012 to Jun 30, 2025
- RAUM · $53.0M to $124MDec 17, 2012 to Jun 30, 2025
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 404-808-5414reportedpublic record, Form ADV, May 22, 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026