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

A•••••• F•••••••• S•••••••• L••

Former SEC-registered adviserWoodstock, GeorgiaCRD 110115SEC 801-60222IAPD
Latest filing Feb 17, 2016
First filing on the tape Nov 30, 2011 · 8 filings
RAUM
$512M
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
16
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$512M as of Feb 17, 2016
Feb 29, 2012$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Feb 17, 2016
Feb 29, 20120 then
Employees (5.A)16 as of Feb 17, 2016
Jan 28, 20137 then
Private funds: no history
RAUM +8.2% over the last fiscal year+15% a year over threeIARs 10 to 11
Practice profile
derived from the filing of Feb 17, 2016; every figure names its basis
RAUM per advisor
$46.5MderivedRAUM 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
$288,270derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.2%derivedbetween the last two annual amendments
Advisor growth, one year
+10%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
900reportedItem 5.H
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)
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
1,776reported
Financial planning clients
900reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• J••••••• A••• · Partner/Chief Investment Officercontrol
      since 06/2006 · owns 25% to 50%
    • K••••••• G•••• J•• · Partner/Chief Compliance Officercontrol
      since 10/2010 · owns 10% to 25%
    • Y••••••••• C•••• A••••• · Managing Partnercontrol
      since 09/1998 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • A•••••• R••• M••••••••• C••••••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,577 to 1,776
      Mar 24, 2015 to Feb 17, 2016
    • Advisory employees · 10 to 11
      Mar 24, 2015 to Feb 17, 2016
    • Assets in custody · 180977766.0 to unset
      Mar 24, 2015 to Feb 17, 2016
    • Employees · 14 to 16
      Mar 24, 2015 to Feb 17, 2016
    • State-registered IARs · 10 to 11
      Mar 24, 2015 to Feb 17, 2016
    • Discretionary RAUM · $473M to $512M
      Mar 24, 2015 to Feb 17, 2016
    • RAUM · $473M to $512M
      Mar 24, 2015 to Feb 17, 2016
    • Accounts · 2,030 to 1,577
      Feb 19, 2014 to Mar 24, 2015
    • Advisory activities · 3 to 2
      Feb 19, 2014 to Mar 24, 2015
    • Assets in custody · $339M to $181M
      Feb 19, 2014 to Mar 24, 2015
    • Employees · 13 to 14
      Feb 19, 2014 to Mar 24, 2015
    • Financial planning clients · 26-50 to More than 500
      Feb 19, 2014 to Mar 24, 2015
    • Discretionary RAUM · $430M to $473M
      Feb 19, 2014 to Mar 24, 2015
    • RAUM · $430M to $473M
      Feb 19, 2014 to Mar 24, 2015
    • Accounts · 1,680 to 2,030
      Jan 28, 2013 to Feb 19, 2014
    • Advisory employees · 7 to 10
      Jan 28, 2013 to Feb 19, 2014
    • Assets in custody · $262M to $339M
      Jan 28, 2013 to Feb 19, 2014
    • Employees · 7 to 13
      Jan 28, 2013 to Feb 19, 2014
    • Financial planning clients · 11-25 to 26-50
      Jan 28, 2013 to Feb 19, 2014
    • State-registered IARs · 7 to 10
      Jan 28, 2013 to Feb 19, 2014
    • Discretionary RAUM · $334M to $430M
      Jan 28, 2013 to Feb 19, 2014
    • RAUM · $334M to $430M
      Jan 28, 2013 to Feb 19, 2014
    • Accounts · 1,764 to 1,680
      Jan 7, 2013 to Jan 28, 2013
    • Advisory employees · 6 to 7
      Jan 7, 2013 to Jan 28, 2013
    • Advisory activities · 2 to 3
      Jan 7, 2013 to Jan 28, 2013
    • Assets in custody · $218M to $262M
      Jan 7, 2013 to Jan 28, 2013
    • Employees · 8 to 7
      Jan 7, 2013 to Jan 28, 2013
    • State-registered IARs · 6 to 7
      Jan 7, 2013 to Jan 28, 2013
    • Discretionary RAUM · $283M to $334M
      Jan 7, 2013 to Jan 28, 2013
    • RAUM · $283M to $334M
      Jan 7, 2013 to Jan 28, 2013
    • Advisory employees · unset to 6.0
      Feb 29, 2012 to Nov 26, 2012
    • Employees · unset to 8.0
      Feb 29, 2012 to Nov 26, 2012
    • State-registered IARs · 0 to 6
      Feb 29, 2012 to Nov 26, 2012
    • Accounts · 1,697 to 1,764
      Nov 30, 2011 to Feb 29, 2012
    • Assets in custody · $205M to $218M
      Nov 30, 2011 to Feb 29, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 30, 2011 to Feb 29, 2012
    • Discretionary RAUM · $266M to $283M
      Nov 30, 2011 to Feb 29, 2012
    • RAUM · $266M to $283M
      Nov 30, 2011 to Feb 29, 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