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
F•••••••• A••••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Apr 12, 2022 · 5 filings
SEC status approved since May 12, 2022
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$199M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$199M as of Feb 4, 2026
Feb 1, 2023$112M then
HNW client RAUM$182M as of Feb 4, 2026
Feb 1, 2023$89.2M then
State-registered IARs (5.B.3)3 as of Feb 4, 2026
Feb 1, 20233 then
Employees (5.A)3 as of Feb 4, 2026
Feb 1, 20233 then
Private funds: no history
RAUM +19% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $66.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $577,247derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $72.4M, 85 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M91%
- Individuals$17.6M8.9%
- Individual clients
- 39reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 345reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $72.4M for 85 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• E••• H••••••••Certified Financial Planner, Chartered Financial Consultant | Woodstock, Ga | Jun 2, 2006 | 28 y | 1 |
| A••••• G• R••Certified Financial Planner | Woodstock, Ga | Aug 25, 2010 | 20 y | 0 |
| K•••••• M••••••• B•••••Certified Financial Planner | Woodstock, Ga | Jan 3, 2022 | 13 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
- H••••••••• D••••• E••• · President, Portfolio Manager, Chief Compliance Officercontrolsince 04/2001 · owns 75% or more
- R••• A•••••• G• · Vice President, Wealth Managersince 10/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woodstock, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 329 to 345Feb 11, 2025 to Feb 4, 2026
- HNW clients · 51 to 61Feb 11, 2025 to Feb 4, 2026
- Individual clients · 41 to 39Feb 11, 2025 to Feb 4, 2026
- Assets in custody · $60.0M to $72.4MFeb 11, 2025 to Feb 4, 2026
- Discretionary RAUM · $167M to $199MFeb 11, 2025 to Feb 4, 2026
- HNW RAUM · $146M to $182MFeb 11, 2025 to Feb 4, 2026
- Individual RAUM · $21.1M to $17.6MFeb 11, 2025 to Feb 4, 2026
- RAUM · $167M to $199MFeb 11, 2025 to Feb 4, 2026
- Accounts · 311 to 329Jan 31, 2024 to Feb 11, 2025
- HNW clients · 46 to 51Jan 31, 2024 to Feb 11, 2025
- Assets in custody · $49.9M to $60.0MJan 31, 2024 to Feb 11, 2025
- Financial planning clients · 1-10 to 1-10Jan 31, 2024 to Feb 11, 2025
- Discretionary RAUM · $137M to $167MJan 31, 2024 to Feb 11, 2025
- HNW RAUM · $117M to $146MJan 31, 2024 to Feb 11, 2025
- Individual RAUM · $20.3M to $21.1MJan 31, 2024 to Feb 11, 2025
- RAUM · $137M to $167MJan 31, 2024 to Feb 11, 2025
- Accounts · 306 to 311Feb 1, 2023 to Jan 31, 2024
- HNW clients · 38 to 46Feb 1, 2023 to Jan 31, 2024
- Individual clients · 46 to 41Feb 1, 2023 to Jan 31, 2024
- Assets in custody · $37.0M to $49.9MFeb 1, 2023 to Jan 31, 2024
- Financial planning clients · 11-25 to 1-10Feb 1, 2023 to Jan 31, 2024
- Discretionary RAUM · $112M to $137MFeb 1, 2023 to Jan 31, 2024
- HNW RAUM · $89.2M to $117MFeb 1, 2023 to Jan 31, 2024
- Individual RAUM · $23.2M to $20.3MFeb 1, 2023 to Jan 31, 2024
- RAUM · $112M to $137MFeb 1, 2023 to Jan 31, 2024
- Accounts · 356 to 306Apr 12, 2022 to Feb 1, 2023
- Individual clients · 44 to 46Apr 12, 2022 to Feb 1, 2023
- Assets in custody · unset to 37011828.0Apr 12, 2022 to Feb 1, 2023
- Custody of client assets · false to trueApr 12, 2022 to Feb 1, 2023
- Financial planning clients · 1-10 to 11-25Apr 12, 2022 to Feb 1, 2023
- Discretionary RAUM · $125M to $112MApr 12, 2022 to Feb 1, 2023
- HNW RAUM · $100M to $89.2MApr 12, 2022 to Feb 1, 2023
- Individual RAUM · $24.6M to $23.2MApr 12, 2022 to Feb 1, 2023
- RAUM · $125M to $112MApr 12, 2022 to Feb 1, 2023
Signals
1 dated events
- F•••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 2022 · First SEC registration · fact
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
- Business email
- i•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-517-8159reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-517-8160reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/financialarchitectsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- FINANCIALA•••••••••LLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 770-517-8160reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $66.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026