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
C••••• • B•••••••• I•••
Latest filing Jan 8, 2026
First filing on the tape Jan 30, 2012 · 18 filings
SEC status approved since Apr 25, 2001
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$231M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
18 filings and snapshots on the tape
RAUM$251M as of Jan 8, 2026
Jan 30, 2012$153M then
HNW client RAUM$230M as of Jan 8, 2026
Jan 21, 2018$141M then
State-registered IARs (5.B.3)0 as of Jan 8, 2026
Jan 30, 20120 then
Employees (5.A)1 as of Jan 8, 2026
Feb 1, 20131 then
Private funds: no history
RAUM +7.1% over the last fiscal year+3.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 8, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.4MderivedHNW RAUM over HNW clients
- Average account
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$230M92%
- Charitable organizations$20.3M8.1%
- Individuals$420,1820.2%
- Corporations and businesses$18,2220.0%
- Individual clients
- 2reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 28reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• S•••• · Chairmancontrolsince 09/1987 · owns 50% to 75%
- R•••••• F••••••• G••• · President, Chief Compliance Officercontrolsince 09/1987 · owns 25% to 50%
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
- Discretionary RAUM · $234M to $251MJan 15, 2025 to Jan 8, 2026
- HNW RAUM · $213M to $230MJan 15, 2025 to Jan 8, 2026
- Individual RAUM · $361,589 to $420,182Jan 15, 2025 to Jan 8, 2026
- RAUM · $234M to $251MJan 15, 2025 to Jan 8, 2026
- Accounts · 35 to 28Nov 5, 2024 to Jan 15, 2025
- Corporate clients · 3 to 1Nov 5, 2024 to Jan 15, 2025
- HNW clients · 18 to 16Nov 5, 2024 to Jan 15, 2025
- Financial planning clients · 1-10 to 1-10Nov 5, 2024 to Jan 15, 2025
- Discretionary RAUM · $238M to $234MNov 5, 2024 to Jan 15, 2025
- HNW RAUM · $199M to $213MNov 5, 2024 to Jan 15, 2025
- Individual RAUM · $83,529 to $361,589Nov 5, 2024 to Jan 15, 2025
- RAUM · $238M to $234MNov 5, 2024 to Jan 15, 2025
- Accounts · 38 to 35Jan 27, 2023 to Jan 8, 2024
- Corporate clients · 2 to 3Jan 27, 2023 to Jan 8, 2024
- HNW clients · 19 to 18Jan 27, 2023 to Jan 8, 2024
- Discretionary RAUM · $226M to $238MJan 27, 2023 to Jan 8, 2024
- HNW RAUM · $192M to $199MJan 27, 2023 to Jan 8, 2024
- Individual RAUM · $70,049 to $83,529Jan 27, 2023 to Jan 8, 2024
- RAUM · $226M to $238MJan 27, 2023 to Jan 8, 2024
- HNW clients · 15 to 19Feb 1, 2022 to Jan 27, 2023
- Individual clients · 3 to 2Feb 1, 2022 to Jan 27, 2023
- Discretionary RAUM · $257M to $226MFeb 1, 2022 to Jan 27, 2023
- HNW RAUM · $222M to $192MFeb 1, 2022 to Jan 27, 2023
- Individual RAUM · $660,492 to $70,049Feb 1, 2022 to Jan 27, 2023
- RAUM · $257M to $226MFeb 1, 2022 to Jan 27, 2023
- Accounts · 35 to 38Jan 21, 2021 to Feb 1, 2022
- HNW clients · 13 to 15Jan 21, 2021 to Feb 1, 2022
- Individual clients · 4 to 3Jan 21, 2021 to Feb 1, 2022
- Discretionary RAUM · $231M to $257MJan 21, 2021 to Feb 1, 2022
- HNW RAUM · $197M to $222MJan 21, 2021 to Feb 1, 2022
- Individual RAUM · $1.9M to $660,492Jan 21, 2021 to Feb 1, 2022
- RAUM · $231M to $257MJan 21, 2021 to Feb 1, 2022
- Accounts · 37 to 35Jun 24, 2020 to Jan 21, 2021
- Charity clients · 3 to 2Jun 24, 2020 to Jan 21, 2021
- HNW clients · 14 to 13Jun 24, 2020 to Jan 21, 2021
- Discretionary RAUM · $225M to $231MJun 24, 2020 to Jan 21, 2021
- HNW RAUM · $188M to $197MJun 24, 2020 to Jan 21, 2021
- Individual RAUM · $1.1M to $1.9MJun 24, 2020 to Jan 21, 2021
- RAUM · $225M to $231MJun 24, 2020 to Jan 21, 2021
- Accounts · 36 to 37Feb 15, 2019 to Jan 30, 2020
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
- Website
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-233-0560reportedpublic record, Form ADV, Jan 8, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026