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.
Former SEC-registered adviser
Southeastern Advisory Services Inc
Latest filing Jan 8, 2025
First filing on the tape Feb 1, 2012 · 19 filings
SEC status approved since Mar 17, 1988
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 8, 2025
Mar 12, 20130 then
Employees (5.A)7 as of Jan 8, 2025
Mar 12, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 8, 2025; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 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
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
- Kurt Franklin Lofters to BalentineJul 1, 2024 · Other
Joined, latest
- Kurt Franklin Lofters from Consequent Capital Management, LLCFeb 10, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Jeffrey Swanson · President, Owner And Chief Compliance Officercontrolsince 01/2022 · owns 75% or more
- Nmi Ademir Zeco · Managing Directorcontrolsince 06/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Jul 1, 2024 to Jan 8, 2025
- Financial planning clients · unset to Jul 1, 2024 to Jan 8, 2025
- Discretionary RAUM · unset to 0.0Jul 1, 2024 to Jan 8, 2025
- Non-discretionary RAUM · unset to 0.0Jul 1, 2024 to Jan 8, 2025
- RAUM · unset to 0.0Jul 1, 2024 to Jan 8, 2025
- Advisory employees · 4 to 5Jan 18, 2023 to Feb 8, 2024
- Corporate clients · unset to 1.0Jan 18, 2023 to Feb 8, 2024
- Pension plan clients · 33.0 to unsetJan 18, 2023 to Feb 8, 2024
- Other offices · 3 to 0Jan 18, 2023 to Feb 8, 2024
- Pension RAUM · 0.0 to unsetJan 18, 2023 to Feb 8, 2024
- Pension plan clients · 32 to 33Apr 22, 2022 to Jan 18, 2023
- Pension RAUM · unset to 0.0Apr 22, 2022 to Jan 18, 2023
- Pension plan clients · 3 to 32Feb 15, 2022 to Feb 24, 2022
- Pension plan clients · 33 to 3Mar 6, 2020 to Jan 7, 2021
- Advisory employees · 5 to 4Feb 5, 2019 to Mar 6, 2020
- Pension plan clients · unset to 33.0Feb 5, 2019 to Mar 6, 2020
- Employees · 8 to 7Feb 5, 2019 to Mar 6, 2020
- State-registered IARs · 2 to 1Feb 5, 2019 to Mar 6, 2020
- Other offices · 4 to 3Feb 5, 2019 to Mar 6, 2020
- Advisory employees · 4 to 5Mar 13, 2018 to Feb 5, 2019
- Charity clients · 1.0 to unsetMar 13, 2018 to Feb 5, 2019
- Pension plan clients · 5.0 to unsetMar 13, 2018 to Feb 5, 2019
- Employees · 4 to 8Mar 13, 2018 to Feb 5, 2019
- Financial planning clients · 0 to unsetMar 13, 2018 to Feb 5, 2019
- State-registered IARs · 0 to 2Mar 13, 2018 to Feb 5, 2019
- Other offices · 0 to 4Mar 13, 2018 to Feb 5, 2019
- Charity clients · unset to 1.0Mar 10, 2017 to Mar 13, 2018
- Pension plan clients · unset to 5.0Mar 10, 2017 to Mar 13, 2018
- Other offices · unset to 0.0Mar 10, 2017 to Mar 13, 2018
- Advisory employees · 5 to 4Mar 7, 2016 to Mar 10, 2017
- Employees · 5 to 4Mar 7, 2016 to Mar 10, 2017
- Advisory employees · unset to 5.0Feb 1, 2012 to Mar 12, 2013
- BD registered reps · unset to 0.0Feb 1, 2012 to Mar 12, 2013
- Employees · unset to 5.0Feb 1, 2012 to Mar 12, 2013
- State-registered IARs · unset to 0.0Feb 1, 2012 to Mar 12, 2013
Signals
8 dated events
- Southeastern Advisory Services Inc no longer on the SEC adviser roster (last listed 2025-09-02)Dec 20, 2025 · Left the SEC roster · derived
- Kurt Franklin Lofters left Southeastern Advisory Services Inc for Balentine (registered 2025-03-03)Jul 1, 2024 · Advisor changed firm · fact
- Nmi Ademir Zeco (Managing Director) appeared on Schedule A of Southeastern Advisory Services IncJul 1, 2024 · Control person joined · fact
- Franklin Kurt Lofters (Managing Director And Chief Compliance Officer) no longer on Schedule A of Southeastern Advisory Services Inc (listed 2024-02-08, absent 2024-07-01)Jul 1, 2024 · Control person left · inference
- Lee John Small (Chief Compliance Officer, Managing Principal, Ceo, Cfo, Coo) no longer on Schedule A of Southeastern Advisory Services Inc (listed 2021-01-07, absent 2022-02-15)Feb 15, 2022 · Control person left · inference
- Franklin Kurt Lofters (Managing Director And Chief Compliance Officer) appeared on Schedule A of Southeastern Advisory Services IncFeb 15, 2022 · Control person joined · fact
- David Jeffrey Swanson (President And Owner) appeared on Schedule A of Southeastern Advisory Services IncFeb 15, 2022 · Control person joined · fact
- Kenneth Todd Borton (Managing Principal) no longer on Schedule A of Southeastern Advisory Services Inc (listed 2019-02-05, absent 2020-03-06)Mar 6, 2020 · Control person left · inference
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