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

M•••••••• P•••••••• M•••••••• I•••

Former SEC-registered adviserAtlanta, GeorgiaCRD 120434SEC 801-61130IAPD
Latest filing Mar 24, 2018
First filing on the tape Mar 15, 2012 · 24 filings
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$246M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$269M as of Mar 24, 2018
Mar 15, 2012$780M then
HNW client RAUM: $246M
State-registered IARs (5.B.3)1 as of Mar 24, 2018
Mar 26, 20132 then
Employees (5.A)4 as of Mar 24, 2018
Mar 26, 20136 then
Private funds: no history
RAUM -52% over the last fiscal year-23% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 24, 2018; every figure names its basis
RAUM per advisor
$269MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-52%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$246M91%
  • Corporations and businesses$23.4M8.7%
Individual clients
n/areported
HNW clients
100reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
106reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $128M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    • D••••• E••••• O• J•••• L•••• · Sole Ownercontrol
      since 07/2017 · owns 75% or more
    • N•••••• R••••• C•••••• · Ccocontrol
      since 08/2017 · owns less than 5%
    • R••••••••• C••••• D•••• · Presidentcontrol
      since 08/2017 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 177 to 106
      Sep 29, 2017 to Mar 23, 2018
    • Advisory employees · 5 to 3
      Sep 29, 2017 to Mar 23, 2018
    • Corporate clients · unset to 6.0
      Sep 29, 2017 to Mar 23, 2018
    • HNW clients · unset to 100.0
      Sep 29, 2017 to Mar 23, 2018
    • Employees · 6 to 4
      Sep 29, 2017 to Mar 23, 2018
    • State-registered IARs · 2 to 1
      Sep 29, 2017 to Mar 23, 2018
    • Other offices · unset to 0.0
      Sep 29, 2017 to Mar 23, 2018
    • Discretionary RAUM · $565M to $269M
      Sep 29, 2017 to Mar 23, 2018
    • HNW RAUM · unset to 245597948.0
      Sep 29, 2017 to Mar 23, 2018
    • RAUM · $565M to $269M
      Sep 29, 2017 to Mar 23, 2018
    • Wrap assets (manager) · unset to 127858299.0
      Sep 29, 2017 to Mar 23, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Sep 29, 2017 to Mar 23, 2018
    • Assets in custody · 654609.0 to unset
      Mar 30, 2017 to May 9, 2017
    • Custody of client assets · true to false
      Mar 30, 2017 to May 9, 2017
    • Employees · 5 to 6
      Mar 30, 2017 to May 9, 2017
    • Accounts · 181 to 177
      Jun 3, 2016 to Mar 30, 2017
    • Advisory activities · 2 to 1
      Jun 3, 2016 to Mar 30, 2017
    • Assets in custody · $12.3M to $654,609
      Jun 3, 2016 to Mar 30, 2017
    • Discretionary RAUM · $571M to $565M
      Jun 3, 2016 to Mar 30, 2017
    • RAUM · $571M to $565M
      Jun 3, 2016 to Mar 30, 2017
    • Accounts · 187 to 181
      Mar 30, 2016 to Jun 3, 2016
    • Discretionary RAUM · $570M to $571M
      Mar 30, 2016 to Jun 3, 2016
    • Non-discretionary RAUM · $1.2M to $0
      Mar 30, 2016 to Jun 3, 2016
    • RAUM · $571M to $571M
      Mar 30, 2016 to Jun 3, 2016
    • Accounts · 188 to 187
      Sep 15, 2015 to Mar 30, 2016
    • Assets in custody · $15.6M to $12.3M
      Sep 15, 2015 to Mar 30, 2016
    • Discretionary RAUM · $585M to $570M
      Sep 15, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $1.1M to $1.2M
      Sep 15, 2015 to Mar 30, 2016
    • RAUM · $586M to $571M
      Sep 15, 2015 to Mar 30, 2016
    • Accounts · 183 to 188
      Sep 14, 2015 to Sep 15, 2015
    • Non-discretionary RAUM · $0 to $1.1M
      Sep 14, 2015 to Sep 15, 2015
    • RAUM · $585M to $586M
      Sep 14, 2015 to Sep 15, 2015
    • Accounts · 181 to 183
      Jun 1, 2015 to Sep 14, 2015
    • Assets in custody · $16.7M to $15.6M
      Jun 1, 2015 to Sep 14, 2015
    • Employees · 6 to 5
      Jun 1, 2015 to Sep 14, 2015
    • State-registered IARs · 3 to 2
      Jun 1, 2015 to Sep 14, 2015
    • Discretionary RAUM · $578M to $585M
      Jun 1, 2015 to Sep 14, 2015
    • RAUM · $578M to $585M
      Jun 1, 2015 to Sep 14, 2015
    • Accounts · 184 to 181
      Sep 24, 2014 to Mar 30, 2015
    • Assets in custody · $16.8M to $16.7M
      Sep 24, 2014 to Mar 30, 2015
    Signals
    1 dated events
    • M•••••••• P•••••••• M•••••••• I••• reported RAUM $269.0M, down 52% from $565.4M (2017-09-29 to 2018-03-23)
      Mar 23, 2018 · RAUM change · derived
    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