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.

Former SEC-registered adviser

Southbridge

Former SEC-registered adviserAtlanta, GeorgiaCRD 119040SEC 801-77550IAPD
Legal name Three Advisors Inc.
Latest filing Dec 24, 2019
First filing on the tape Mar 21, 2012 · 56 filings
RAUM
$242M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
66%
$159M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$703M as of Mar 29, 2019
Mar 21, 2012$54.5M then
HNW client RAUM$254M as of Mar 29, 2019
Mar 21, 2018$160M then
State-registered IARs (5.B.3)13 as of Mar 29, 2019
Mar 18, 201410 then
Employees (5.A)16 as of Mar 29, 2019
Mar 18, 201411 then
Private funds: no history
RAUM -47% over the last fiscal year-5.2% a year over threeIARs 12 to 8offices 3 to 1
Practice profile
derived from the filing of Dec 24, 2019; every figure names its basis
RAUM per advisor
$30.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$557,209derivedHNW RAUM over HNW clients
Average account
$357,447derivedRAUM over accounts (5.F.2.f)
Discretionary
66%derivedof RAUM
Institutional
34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+55%derivedbetween the last two annual amendments
Advisor growth, one year
+8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+30%derived
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
Wrap fee program
$31.0MreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$83.1M34%
  • Individuals$80.6M33%
  • High-net-worth individuals$78.6M32%
Individual clients
154reported
HNW clients
141reported
Pension plan clients
27reported
Charitable clients
n/areported
Accounts
678reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Left, latest
Joined, latest
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
  • George William Hammond · Partnercontrol
    since 07/2018 · owns 10% to 25%
  • James William Kring · Ceo/Chief Compliance Officercontrol
    since 07/2018 · owns 50% to 75%
  • Margaret Maryjane Lecroy · President/Cfocontrol
    since 07/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
  • Cory Colquette, Cpa
    insurancen
  • Mcgoldrick & Company, Cpa, CFP
    insurancen
Offices
Schedule D 1.F, the 25 largest
  • Smyrna, GA4 employees
What changed
consecutive filings, newest first
  • Business name · WEALTH AND PENSION SERVICES GROUP INC. to SOUTHBRIDGE
    Jul 14, 2019 to Dec 24, 2019
  • Other offices · 4 to 1
    Jul 14, 2019 to Dec 24, 2019
  • Accounts · 2,945 to 678
    Mar 29, 2019 to Jul 9, 2019
  • Advisory employees · 14 to 8
    Mar 29, 2019 to Jul 9, 2019
  • BD registered reps · 3 to 0
    Mar 29, 2019 to Jul 9, 2019
  • Charity clients · 7.0 to unset
    Mar 29, 2019 to Jul 9, 2019
  • HNW clients · 215 to 141
    Mar 29, 2019 to Jul 9, 2019
  • Individual clients · 424 to 154
    Mar 29, 2019 to Jul 9, 2019
  • Pension plan clients · 39 to 27
    Mar 29, 2019 to Jul 9, 2019
  • Employees · 16 to 8
    Mar 29, 2019 to Jul 9, 2019
  • State-registered IARs · 13 to 8
    Mar 29, 2019 to Jul 9, 2019
  • Discretionary RAUM · $577M to $159M
    Mar 29, 2019 to Jul 9, 2019
  • HNW RAUM · $254M to $78.6M
    Mar 29, 2019 to Jul 9, 2019
  • Individual RAUM · $267M to $80.6M
    Mar 29, 2019 to Jul 9, 2019
  • Non-discretionary RAUM · $126M to $83.1M
    Mar 29, 2019 to Jul 9, 2019
  • Pension RAUM · $176M to $83.1M
    Mar 29, 2019 to Jul 9, 2019
  • RAUM · $703M to $242M
    Mar 29, 2019 to Jul 9, 2019
  • Legal name · WEALTH AND PENSION SERVICES GROUP INC. to THREE ADVISORS INC.
    Jul 9, 2019 to Jul 9, 2019
  • Accounts · 1,127 to 2,945
    Jul 6, 2018 to Mar 29, 2019
  • Advisory employees · 11 to 14
    Jul 6, 2018 to Mar 29, 2019
  • BD registered reps · 5 to 3
    Jul 6, 2018 to Mar 29, 2019
  • Charity clients · unset to 7.0
    Jul 6, 2018 to Mar 29, 2019
  • HNW clients · 125 to 215
    Jul 6, 2018 to Mar 29, 2019
  • Individual clients · 368 to 424
    Jul 6, 2018 to Mar 29, 2019
  • Pension plan clients · 27 to 39
    Jul 6, 2018 to Mar 29, 2019
  • Employees · 12 to 16
    Jul 6, 2018 to Mar 29, 2019
  • Insurance-licensed employees · 1 to 0
    Jul 6, 2018 to Mar 29, 2019
  • State-registered IARs · 12 to 13
    Jul 6, 2018 to Mar 29, 2019
  • Discretionary RAUM · $330M to $577M
    Jul 6, 2018 to Mar 29, 2019
  • HNW RAUM · $160M to $254M
    Jul 6, 2018 to Mar 29, 2019
  • Individual RAUM · $131M to $267M
    Jul 6, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · $124M to $126M
    Jul 6, 2018 to Mar 29, 2019
  • Pension RAUM · $163M to $176M
    Jul 6, 2018 to Mar 29, 2019
  • RAUM · $454M to $703M
    Jul 6, 2018 to Mar 29, 2019
  • HQ city · SMYRNA to ATLANTA
    Mar 21, 2018 to Jul 6, 2018
  • Other offices · 3 to 4
    Mar 21, 2018 to Jul 6, 2018
  • Accounts · 1,116 to 1,127
    Apr 5, 2017 to Mar 21, 2018
  • Advisory employees · 14 to 11
    Apr 5, 2017 to Mar 21, 2018
  • BD registered reps · 11 to 5
    Apr 5, 2017 to Mar 21, 2018
  • HNW clients · unset to 125.0
    Apr 5, 2017 to Mar 21, 2018
Signals
4 dated events
  • Southbridge reported RAUM $242.3M, down 66% from $702.6M (2019-03-29 to 2019-07-09)
    Jul 9, 2019 · RAUM change · derived
  • Southbridge reported RAUM $702.6M, up 55% from $454.3M (2018-07-06 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • Southbridge reported RAUM $454.3M, up 45% from $312.4M (2017-04-05 to 2018-03-21)
    Mar 21, 2018 · RAUM change · derived
  • Wealth And Pension Services Group Inc. filed its initial SEC registration (Form ADV)
    Jan 7, 2013 · 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.
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