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RIA Intelligence

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R•••••••• F•••••••• G••••• I•••

Former SEC-registered adviserFormer SEC adviser· Warner Robins, Georgia

Former SEC-registered adviser, based in Warner Robins, Georgia, reporting $31.0M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$31.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-76%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $31.0M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 119314 · SEC 801-64247 · 17 filingsShow
CRD 119314SEC 801-64247First filing on the tape Feb 9, 2012, latest Nov 23, 2020IAPD
RAUM
$31.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$31.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$62.1M as of Mar 5, 2020
Feb 9, 2012$97.2M then
HNW client RAUM$5.4M as of Mar 5, 2020
Mar 21, 2018$26.5M then
State-registered IARs (5.B.3)5 as of Mar 5, 2020
Feb 12, 20134 then
Employees (5.A)5 as of Mar 5, 2020
Feb 12, 20134 then
Private funds: no history
RAUM -76% over the last fiscal year-36% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Nov 23, 2020; every figure names its basis
RAUM per advisor
$6.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$184,309derivedRAUM 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
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-52%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-60%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
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
  • Individuals$28.1M91%
  • High-net-worth individuals$2.9M9.2%
Individual clients
165reported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
168reported
Financial planning clients
0reported
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
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
    • R••••••••• S••••••• M••• · President/Chief Compliance Officercontrol
      since 08/1987 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Macon, GA2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 298 to 168
      Jun 9, 2020 to Oct 8, 2020
    • HNW clients · 5 to 2
      Jun 9, 2020 to Oct 8, 2020
    • Individual clients · 156 to 165
      Jun 9, 2020 to Oct 8, 2020
    • Discretionary RAUM · $59.0M to $31.0M
      Jun 9, 2020 to Oct 8, 2020
    • HNW RAUM · $5.4M to $2.9M
      Jun 9, 2020 to Oct 8, 2020
    • Individual RAUM · $56.7M to $28.1M
      Jun 9, 2020 to Oct 8, 2020
    • Non-discretionary RAUM · $3.1M to $0
      Jun 9, 2020 to Oct 8, 2020
    • RAUM · $62.1M to $31.0M
      Jun 9, 2020 to Oct 8, 2020
    • Accounts · 542 to 298
      Aug 7, 2019 to Mar 5, 2020
    • HNW clients · 18 to 5
      Aug 7, 2019 to Mar 5, 2020
    • Individual clients · 388 to 156
      Aug 7, 2019 to Mar 5, 2020
    • Discretionary RAUM · $126M to $59.0M
      Aug 7, 2019 to Mar 5, 2020
    • HNW RAUM · $27.0M to $5.4M
      Aug 7, 2019 to Mar 5, 2020
    • Individual RAUM · $102M to $56.7M
      Aug 7, 2019 to Mar 5, 2020
    • Non-discretionary RAUM · $3.1M to $3.1M
      Aug 7, 2019 to Mar 5, 2020
    • RAUM · $129M to $62.1M
      Aug 7, 2019 to Mar 5, 2020
    • Accounts · 562 to 542
      Mar 21, 2018 to Mar 12, 2019
    • HNW clients · 17 to 18
      Mar 21, 2018 to Mar 12, 2019
    • Individual clients · 545 to 388
      Mar 21, 2018 to Mar 12, 2019
    • Discretionary RAUM · $130M to $126M
      Mar 21, 2018 to Mar 12, 2019
    • HNW RAUM · $26.5M to $27.0M
      Mar 21, 2018 to Mar 12, 2019
    • Individual RAUM · $108M to $102M
      Mar 21, 2018 to Mar 12, 2019
    • Non-discretionary RAUM · $3.9M to $3.1M
      Mar 21, 2018 to Mar 12, 2019
    • RAUM · $134M to $129M
      Mar 21, 2018 to Mar 12, 2019
    • Accounts · 536 to 562
      Feb 7, 2017 to Mar 21, 2018
    • Advisory employees · 5 to 3
      Feb 7, 2017 to Mar 21, 2018
    • BD registered reps · 4 to 5
      Feb 7, 2017 to Mar 21, 2018
    • HNW clients · unset to 17.0
      Feb 7, 2017 to Mar 21, 2018
    • Individual clients · unset to 545.0
      Feb 7, 2017 to Mar 21, 2018
    • Employees · 7 to 5
      Feb 7, 2017 to Mar 21, 2018
    • Financial planning clients · 1-10 to 0
      Feb 7, 2017 to Mar 21, 2018
    • Other offices · unset to 1.0
      Feb 7, 2017 to Mar 21, 2018
    • Discretionary RAUM · $120M to $130M
      Feb 7, 2017 to Mar 21, 2018
    • HNW RAUM · unset to 26483548.0
      Feb 7, 2017 to Mar 21, 2018
    • Individual RAUM · unset to 107594762.0
      Feb 7, 2017 to Mar 21, 2018
    • Non-discretionary RAUM · $0 to $3.9M
      Feb 7, 2017 to Mar 21, 2018
    • RAUM · $120M to $134M
      Feb 7, 2017 to Mar 21, 2018
    • Accounts · 537 to 536
      Feb 17, 2016 to Feb 7, 2017
    • Discretionary RAUM · $116M to $120M
      Feb 17, 2016 to Feb 7, 2017
    • RAUM · $116M to $120M
      Feb 17, 2016 to Feb 7, 2017
    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