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

T••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 109827SEC 801-50316IAPD
Latest filing Mar 27, 2017
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$1.1B
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2017
Mar 30, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2017
Mar 30, 20120 then
Employees (5.A)28 as of Mar 27, 2017
Apr 1, 201344 then
Private funds: no history
RAUM -14% over the last fiscal year-3.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2017; every figure names its basis
RAUM per advisor
$538MderivedRAUM 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
$154MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
14.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-14%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$39.2M, 7 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
  • 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
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$39.2M for 7 clientsreported
Compensation
% of AUM, performancereported
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
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
      • B••••• W••••••• A•••••• · Ciocontrol
        since 01/2005 · owns less than 5%
      • S••••••• J•••• B•••• · Ceocontrol
        since 09/2002 · owns less than 5%
      • Z•••• D•••••• D•••• · Coocontrol
        since 01/2005 · owns less than 5%
      • B••••• W••••••• A•••••• · Member/Managercontrol
        since 03/2004 · owns 25% to 50% of I••••••• C•••••• P•••••••• L••
      • S••••••• J•••• B•••• · Member/Managercontrol
        since 12/2013 · owns 50% to 75% of I••••••• C•••••• P•••••••• L••
      • Z•••• D•••••• D•••• · Member/Managercontrol
        since 03/2004 · owns 25% to 50% of I••••••• C•••••• P•••••••• L••
      • B•••••••• R•••••• E••••• · Controller
        since 12/2007 · owns less than 5%
      • S••••••• C••••••• A•••• · General Counsel
        since 01/2006 · owns less than 5%
      Entity owners
      • I••••••• C•••••• P•••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • I••••••• H•••••••• L••
        pooled vehicle sponsorn
      • T••••••••• C•••••••• M••••••••• I•• L••
        pooled vehicle sponsorn
      • T••••••••• C•••••••• M••••••••• I••• L••
        pooled vehicle sponsorn
      • T••••••••• C•••••••• M••••••••• L••
        pooled vehicle sponsorn
      • T••••••••• M••••••••• A• L••
        pooled vehicle sponsorn
      • T••••••••• M••••••••• I•• L••
        pooled vehicle sponsorn
      • T••••••••• M••••••••• I••• L••
        pooled vehicle sponsorn
      • T••••••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $38.1M to $39.2M
        Apr 14, 2016 to Mar 27, 2017
      • Discretionary RAUM · $1.3B to $1.1B
        Apr 14, 2016 to Mar 27, 2017
      • RAUM · $1.3B to $1.1B
        Apr 14, 2016 to Mar 27, 2017
      • Accounts · 8 to 7
        Jan 6, 2016 to Mar 30, 2016
      • Advisory employees · 6 to 5
        Jan 6, 2016 to Mar 30, 2016
      • Advisory activities · 3 to 1
        Jan 6, 2016 to Mar 30, 2016
      • Assets in custody · $1.3B to $38.1M
        Jan 6, 2016 to Mar 30, 2016
      • Employees · 32 to 28
        Jan 6, 2016 to Mar 30, 2016
      • Discretionary RAUM · $1.3B to $1.3B
        Jan 6, 2016 to Mar 30, 2016
      • RAUM · $1.3B to $1.3B
        Jan 6, 2016 to Mar 30, 2016
      • Accounts · 11 to 8
        Jan 22, 2015 to Mar 31, 2015
      • Advisory employees · 10 to 6
        Jan 22, 2015 to Mar 31, 2015
      • Assets in custody · $1.2B to $1.3B
        Jan 22, 2015 to Mar 31, 2015
      • Employees · 42 to 32
        Jan 22, 2015 to Mar 31, 2015
      • Discretionary RAUM · $1.2B to $1.3B
        Jan 22, 2015 to Mar 31, 2015
      • RAUM · $1.2B to $1.3B
        Jan 22, 2015 to Mar 31, 2015
      • Accounts · 12 to 11
        Oct 8, 2013 to Mar 31, 2014
      • Assets in custody · $1.3B to $1.2B
        Oct 8, 2013 to Mar 31, 2014
      • Employees · 44 to 42
        Oct 8, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.3B to $1.2B
        Oct 8, 2013 to Mar 31, 2014
      • RAUM · $1.3B to $1.2B
        Oct 8, 2013 to Mar 31, 2014
      • Accounts · 10 to 12
        Feb 7, 2013 to Apr 1, 2013
      • Advisory employees · 3 to 10
        Feb 7, 2013 to Apr 1, 2013
      • Advisory activities · 4 to 3
        Feb 7, 2013 to Apr 1, 2013
      • Assets in custody · $1.8B to $1.3B
        Feb 7, 2013 to Apr 1, 2013
      • Employees · 48 to 44
        Feb 7, 2013 to Apr 1, 2013
      • Financial planning clients · 0 to unset
        Feb 7, 2013 to Apr 1, 2013
      • State-registered IARs · 3 to 2
        Feb 7, 2013 to Apr 1, 2013
      • Discretionary RAUM · $1.8B to $1.3B
        Feb 7, 2013 to Apr 1, 2013
      • RAUM · $1.8B to $1.3B
        Feb 7, 2013 to Apr 1, 2013
      • Advisory employees · 0 to 3
        Sep 13, 2012 to Nov 9, 2012
      • Employees · unset to 48.0
        Sep 13, 2012 to Nov 9, 2012
      • State-registered IARs · 0 to 3
        Sep 13, 2012 to Nov 9, 2012
      • Insurance-licensed employees · 1 to 0
        Mar 30, 2012 to Jun 6, 2012
      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