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
A•••••••• C•••••• M••••••••• C•
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 17 filings
SEC status approved since Jul 10, 1991
RAUM
$1.5B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.5B
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
17 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2026
Mar 28, 2012$781M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 27, 20131 then
Employees (5.A)1 as of Mar 30, 2026
Mar 27, 20134 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.5BderivedRAUM 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
- $1.5BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%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
- +18%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 assetsreportedItem 5.E
- Advisory activities
- 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••• A••••••••Chartered Financial Analyst | Alpharetta, Ga | Jun 5, 2003 | 35 y | 0 |
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
- A••••••••• H••• · Chairman,Ceo And, Chief Compliance Officercontrolsince 05/1991 · owns 75% or more
Related persons
Schedule D 7.A
- A• • M• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 99% (121 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: institutional managers, $1B to $5B (121) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $1.3B to $1.5BMar 29, 2025 to Mar 30, 2026
- Pension RAUM · $1.3B to $1.5BMar 29, 2025 to Mar 30, 2026
- RAUM · $1.3B to $1.5BMar 29, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $1.1B to $1.3BMar 28, 2024 to Mar 29, 2025
- Pension RAUM · $1.1B to $1.3BMar 28, 2024 to Mar 29, 2025
- RAUM · $1.1B to $1.3BMar 28, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $895M to $1.1BMar 24, 2023 to Mar 28, 2024
- Pension RAUM · $895M to $1.1BMar 24, 2023 to Mar 28, 2024
- RAUM · $895M to $1.1BMar 24, 2023 to Mar 28, 2024
- Accounts · 2 to 1Mar 30, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $1.2B to $895MMar 30, 2022 to Mar 24, 2023
- Pension RAUM · $1.2B to $895MMar 30, 2022 to Mar 24, 2023
- RAUM · $1.2B to $895MMar 30, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $895M to $1.2BMar 29, 2021 to Mar 30, 2022
- Pension RAUM · $895M to $1.2BMar 29, 2021 to Mar 30, 2022
- RAUM · $895M to $1.2BMar 29, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $750M to $895MMar 30, 2020 to Mar 29, 2021
- Pension RAUM · $750M to $895MMar 30, 2020 to Mar 29, 2021
- RAUM · $750M to $895MMar 30, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $580M to $750MMar 29, 2019 to Mar 30, 2020
- Pension RAUM · $580M to $750MMar 29, 2019 to Mar 30, 2020
- RAUM · $580M to $750MMar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $677M to $580MMar 29, 2018 to Mar 29, 2019
- Pension RAUM · $677M to $580MMar 29, 2018 to Mar 29, 2019
- RAUM · $677M to $580MMar 29, 2018 to Mar 29, 2019
- Advisory employees · 2 to 1Jun 29, 2017 to Mar 29, 2018
- Employees · 4 to 1Jun 29, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jun 29, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $539M to $677MJun 29, 2017 to Mar 29, 2018
- Pension RAUM · unset to 677000000.0Jun 29, 2017 to Mar 29, 2018
- RAUM · $539M to $677MJun 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $539M to $0Mar 30, 2017 to Jun 29, 2017
- Non-discretionary RAUM · $0 to $539MMar 30, 2017 to Jun 29, 2017
- Discretionary RAUM · $491M to $539MMar 30, 2016 to Mar 30, 2017
- RAUM · $491M to $539MMar 30, 2016 to Mar 30, 2017
- RAUM · $625M to $491MMar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $625M to $491MMar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $858M to $625MMar 27, 2013 to Mar 31, 2014
- RAUM · $858M to $625MMar 27, 2013 to Mar 31, 2014
Signals
3 dated events
- A•••••••• C•••••• M••••••••• C• reported RAUM $1.2B, up 30% from $895.0M (2021-03-29 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- A•••••••• C•••••• M••••••••• C• reported RAUM $750.0M, up 29% from $580.0M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- A•••••••• C•••••• M••••••••• C• reported RAUM $677.0M, up 26% from $539.0M (2017-06-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- A••••••••CAPITOL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 770-753-6041reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026