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•••••• I••••••••• P••••••• C•••••••••

Former SEC-registered adviserSmyrna, GeorgiaCRD 115526SEC 801-60630IAPD
Latest filing Mar 21, 2018
First filing on the tape Apr 2, 2012 · 7 filings
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$212M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$214M as of Mar 21, 2018
Apr 2, 2012$127M then
HNW client RAUM: $204M
State-registered IARs (5.B.3)2 as of Mar 21, 2018
Apr 2, 20120 then
Employees (5.A)2 as of Mar 21, 2018
Apr 1, 20132 then
Private funds: no history
RAUM +20% over the last fiscal year+7.6% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 21, 2018; every figure names its basis
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
53derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individuals, pension consulting, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$204M95%
  • Individuals$8.0M3.7%
  • Charitable organizations$2.4M1.1%
Individual clients
20reported
HNW clients
86reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
107reported
Financial planning clients
51-100reported
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
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
    • H••••••• W••••••• G••••• · Chief Compliance Officercontrol
      since 04/1996 · owns 50% to 75%
    • L•••••• M•••••••• M••••••• · Partnercontrol
      since 07/2011 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • M••••••• M• L•••••
      investment advisern
    • W•••••• G• H••••••
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 100 to 107
      Mar 31, 2017 to Mar 21, 2018
    • HNW clients · unset to 86.0
      Mar 31, 2017 to Mar 21, 2018
    • Individual clients · unset to 20.0
      Mar 31, 2017 to Mar 21, 2018
    • Employees · 3 to 2
      Mar 31, 2017 to Mar 21, 2018
    • State-registered IARs · 0 to 2
      Mar 31, 2017 to Mar 21, 2018
    • Other offices · unset to 0.0
      Mar 31, 2017 to Mar 21, 2018
    • Discretionary RAUM · $179M to $214M
      Mar 31, 2017 to Mar 21, 2018
    • HNW RAUM · unset to 204090148.0
      Mar 31, 2017 to Mar 21, 2018
    • Individual RAUM · unset to 7989909.0
      Mar 31, 2017 to Mar 21, 2018
    • RAUM · $179M to $214M
      Mar 31, 2017 to Mar 21, 2018
    • BD registered reps · 2 to 0
      Apr 1, 2016 to Mar 31, 2017
    • Discretionary RAUM · $165M to $179M
      Apr 1, 2016 to Mar 31, 2017
    • RAUM · $165M to $179M
      Apr 1, 2016 to Mar 31, 2017
    • Employees · 2 to 3
      Mar 30, 2015 to Apr 1, 2016
    • Discretionary RAUM · $172M to $165M
      Mar 30, 2015 to Apr 1, 2016
    • RAUM · $172M to $165M
      Mar 30, 2015 to Apr 1, 2016
    • Accounts · 96 to 100
      Apr 1, 2014 to Mar 30, 2015
    • Financial planning clients · 26-50 to 51-100
      Apr 1, 2014 to Mar 30, 2015
    • Discretionary RAUM · $160M to $172M
      Apr 1, 2014 to Mar 30, 2015
    • RAUM · $160M to $172M
      Apr 1, 2014 to Mar 30, 2015
    • Accounts · 93 to 96
      Apr 1, 2013 to Apr 1, 2014
    • Discretionary RAUM · $130M to $160M
      Apr 1, 2013 to Apr 1, 2014
    • RAUM · $130M to $160M
      Apr 1, 2013 to Apr 1, 2014
    • Accounts · 99 to 93
      Apr 2, 2012 to Apr 1, 2013
    • Advisory employees · unset to 2.0
      Apr 2, 2012 to Apr 1, 2013
    • BD registered reps · unset to 2.0
      Apr 2, 2012 to Apr 1, 2013
    • Employees · unset to 2.0
      Apr 2, 2012 to Apr 1, 2013
    • Discretionary RAUM · $127M to $130M
      Apr 2, 2012 to Apr 1, 2013
    • RAUM · $127M to $130M
      Apr 2, 2012 to Apr 1, 2013
    • Related adviser · false to true
      Apr 2, 2012 to Apr 1, 2013
    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