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

H•••••• C•••••• M••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 113538SEC 801-60473IAPD
Latest filing Nov 16, 2017
First filing on the tape Mar 27, 2012 · 22 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
0.0%
$122,501 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$842M as of Feb 10, 2017
Mar 27, 2012$5.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 10, 2017
Mar 22, 20136 then
Employees (5.A)20 as of Feb 10, 2017
Mar 22, 201339 then
Private funds: no history
RAUM -79% over the last fiscal year-50% a year over threeIARs 8 to 2
Practice profile
derived from the filing of Nov 16, 2017; every figure names its basis
RAUM per advisor
$545MderivedRAUM 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
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
72%derivedof RAUM
Institutional
52%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-84%derivedbetween the last two annual amendments
Advisor growth, one year
-75%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Wrap fee program
$247MreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$528M49%
  • Other investment advisers$521M48%
  • Insurance companies$24.3M2.2%
  • Pension and profit-sharing plans$8.7M0.8%
  • Individuals$85,5750.0%
  • High-net-worth individuals$36,9260.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
305reported
Financial planning clients
n/areported
Wrap fee programs
$124M sponsored, $124M managedreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    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
      • C•••• R••••••• A•••••••• · Executive Committee Member/Principalcontrol
        since 06/2002 · owns 10% to 25%
      • H•••••• K••••••• R•••••• · Executive Committee Member/Chief Investment Officer/Principal/Chief Compliance Officercontrol
        since 01/2002 · owns 10% to 25%
      Entity owners
      • A•••••• L••• I••••••••• A•••••••• I••• · Common Stockholder
        direct · owns 50% to 75%
      • A••••• F• A•• N••••• B• H•••••• F••••••••• I••• · Common Stockholder
        indirect · owns 50% to 75% of A•••••• L••• F•••••••• G••••, Inc.
      • A•••••• L••• F•••••••• G•••• · Common Stockholder
        indirect · owns 75% or more of A•••••• L••• I••••••••• A•••••••• I•••
      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
      • Accounts · 461 to 305
        Apr 28, 2017 to Oct 13, 2017
      • Advisory employees · 8 to 2
        Apr 28, 2017 to Oct 13, 2017
      • Employees · 20 to 8
        Apr 28, 2017 to Oct 13, 2017
      • Other offices · unset to 1.0
        Apr 28, 2017 to Oct 13, 2017
      • Discretionary RAUM · $842M to $779M
        Apr 28, 2017 to Oct 13, 2017
      • HNW RAUM · unset to 36926.0
        Apr 28, 2017 to Oct 13, 2017
      • Individual RAUM · unset to 85575.0
        Apr 28, 2017 to Oct 13, 2017
      • Non-discretionary RAUM · $0 to $310M
        Apr 28, 2017 to Oct 13, 2017
      • Pension RAUM · unset to 8674758.0
        Apr 28, 2017 to Oct 13, 2017
      • RAUM · $842M to $1.1B
        Apr 28, 2017 to Oct 13, 2017
      • Wrap assets (manager) · unset to 123650000.0
        Apr 28, 2017 to Oct 13, 2017
      • Wrap assets (sponsor) · unset to 123650000.0
        Apr 28, 2017 to Oct 13, 2017
      • Employees · 21 to 20
        Mar 1, 2017 to Apr 28, 2017
      • Employees · 20 to 21
        Feb 10, 2017 to Mar 1, 2017
      • Accounts · 1,783 to 461
        Nov 21, 2016 to Feb 10, 2017
      • Advisory employees · 9 to 8
        Nov 21, 2016 to Feb 10, 2017
      • Advisory activities · 5 to 4
        Nov 21, 2016 to Feb 10, 2017
      • Employees · 24 to 20
        Nov 21, 2016 to Feb 10, 2017
      • State-registered IARs · 4 to 2
        Nov 21, 2016 to Feb 10, 2017
      • Discretionary RAUM · $5.1B to $842M
        Nov 21, 2016 to Feb 10, 2017
      • RAUM · $5.1B to $842M
        Nov 21, 2016 to Feb 10, 2017
      • Advisory employees · 12 to 9
        Mar 22, 2016 to Aug 9, 2016
      • Employees · 42 to 24
        Mar 22, 2016 to Aug 9, 2016
      • State-registered IARs · 8 to 4
        Mar 22, 2016 to Aug 9, 2016
      • Accounts · 2,365 to 1,783
        Apr 28, 2015 to Mar 22, 2016
      • Advisory employees · 13 to 12
        Apr 28, 2015 to Mar 22, 2016
      • Employees · 47 to 42
        Apr 28, 2015 to Mar 22, 2016
      • Discretionary RAUM · $8.0B to $5.1B
        Apr 28, 2015 to Mar 22, 2016
      • RAUM · $8.0B to $5.1B
        Apr 28, 2015 to Mar 22, 2016
      • Advisory employees · 14 to 13
        Apr 16, 2015 to Apr 28, 2015
      • Accounts · 2,223 to 2,365
        Aug 18, 2014 to Mar 30, 2015
      • Advisory employees · 11 to 14
        Aug 18, 2014 to Mar 30, 2015
      • Employees · 44 to 47
        Aug 18, 2014 to Mar 30, 2015
      • State-registered IARs · 9 to 8
        Aug 18, 2014 to Mar 30, 2015
      • Discretionary RAUM · $8.7B to $8.0B
        Aug 18, 2014 to Mar 30, 2015
      • RAUM · $8.7B to $8.0B
        Aug 18, 2014 to Mar 30, 2015
      • Accounts · 1,868 to 2,223
        Mar 22, 2013 to Mar 20, 2014
      • Advisory employees · 9 to 11
        Mar 22, 2013 to Mar 20, 2014
      • Employees · 39 to 44
        Mar 22, 2013 to Mar 20, 2014
      • State-registered IARs · 6 to 9
        Mar 22, 2013 to Mar 20, 2014
      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