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

C•••••• F•••••••• C••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 119100SEC 801-62830IAPD
Latest filing Mar 27, 2017
First filing on the tape Feb 23, 2012 · 14 filings
RAUM
$231M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$231M as of Mar 27, 2017
Feb 23, 2012$164M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 27, 2017
Feb 23, 20120 then
Employees (5.A)6 as of Mar 27, 2017
Feb 8, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+4.3% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 27, 2017; every figure names its basis
RAUM per advisor
$46.2MderivedRAUM 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
$308,348derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$6.3M, 15 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
749reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$6.3M for 15 clientsreported
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
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
    • G•••••• T•••• A•••••• · Chief Compliance Officercontrol
      since 10/2013 · owns 5% to 10%
    • K••••• K••••• S• · Manager, Presidentcontrol
      since 10/1999 · owns 75% or more
    • B•••••••• J•••• D••••• · Member
      since 01/2004 · owns 10% to 25%
    • B••••••• K••••••• H••••• · Member
      since 01/2004 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • B•••••• • D••••••••• L••
      insurancen
    • K•••••• H••••• B••••••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 630 to 749
      Feb 22, 2016 to Mar 27, 2017
    • Assets in custody · unset to 6300549.0
      Feb 22, 2016 to Mar 27, 2017
    • Custody of client assets · false to true
      Feb 22, 2016 to Mar 27, 2017
    • Financial planning clients · 1-10 to 101-250
      Feb 22, 2016 to Mar 27, 2017
    • Discretionary RAUM · $205M to $223M
      Feb 22, 2016 to Mar 27, 2017
    • Non-discretionary RAUM · $2.3M to $7.8M
      Feb 22, 2016 to Mar 27, 2017
    • RAUM · $207M to $231M
      Feb 22, 2016 to Mar 27, 2017
    • Accounts · 633 to 630
      Feb 4, 2015 to Feb 22, 2016
    • Discretionary RAUM · $211M to $205M
      Feb 4, 2015 to Feb 22, 2016
    • Non-discretionary RAUM · $2.3M to $2.3M
      Feb 4, 2015 to Feb 22, 2016
    • RAUM · $213M to $207M
      Feb 4, 2015 to Feb 22, 2016
    • Accounts · 782 to 633
      Sep 12, 2014 to Feb 4, 2015
    • Discretionary RAUM · $190M to $211M
      Sep 12, 2014 to Feb 4, 2015
    • Non-discretionary RAUM · $14.1M to $2.3M
      Sep 12, 2014 to Feb 4, 2015
    • RAUM · $204M to $213M
      Sep 12, 2014 to Feb 4, 2015
    • Accounts · 788 to 782
      Oct 18, 2013 to Mar 17, 2014
    • Discretionary RAUM · $172M to $190M
      Oct 18, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $9.3M to $14.1M
      Oct 18, 2013 to Mar 17, 2014
    • RAUM · $181M to $204M
      Oct 18, 2013 to Mar 17, 2014
    • Advisory activities · 3 to 2
      Jul 10, 2013 to Aug 22, 2013
    • RAUM · $164M to $181M
      Dec 17, 2012 to Feb 8, 2013
    • Accounts · 714 to 788
      Dec 17, 2012 to Feb 8, 2013
    • Employees · 5 to 6
      Dec 17, 2012 to Feb 8, 2013
    • Discretionary RAUM · $155M to $172M
      Dec 17, 2012 to Feb 8, 2013
    • Non-discretionary RAUM · $8.6M to $9.3M
      Dec 17, 2012 to Feb 8, 2013
    • Advisory employees · unset to 5.0
      Mar 2, 2012 to Dec 17, 2012
    • Employees · unset to 5.0
      Mar 2, 2012 to Dec 17, 2012
    • State-registered IARs · 0 to 5
      Mar 2, 2012 to Dec 17, 2012
    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