DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A••• P••••••• W••••• M••••••••• I•••

Independent wealth managerWatkinsville, GeorgiaCRD 123735SEC 801-135323websiteIAPD
Latest filing Jan 13, 2026
First filing on the tape Jan 13, 2026 · 1 filings
SEC status approved since Feb 18, 2026
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$106M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $109M
HNW client RAUM: $38.2M
State-registered IARs (5.B.3): 3
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 13, 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$36.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
81derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$448,835derivedHNW RAUM over HNW clients
Average account
$192,169derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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$67.6M62%
  • High-net-worth individuals$38.2M35%
  • Corporations and businesses$2.2M2.0%
  • Charitable organizations$1.2M1.1%
Individual clients
159reported
HNW clients
85reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
568reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• A••••••• M••••••Certified Financial PlannerWatkinsville, GaNov 17, 201441 y0
W•••• A••••••• M••••••Lawrenceville, GaJul 29, 201921 y2
R••••• C••••••••• G•••••••Lawrenceville, GaNov 24, 202026 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••••• R•••••• C••••••••• · Chief Operating Officercontrol
      since 03/2021 · owns 50% to 75%
    • M••••••• R••••• A••••••• · Chief Financial Officercontrol
      since 04/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Lawrenceville, Ga200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    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.
    How to reach
    public business contact points only, each with its source
    Business email
    w•••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    706-850-8877reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    706-850-8877reportedpublic record, Form ADV, Jan 13, 2026
    Contact form
    a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    a•••••••••.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
    $36.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026