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
D•••••• A•••• M•••••••••
Legal name D••••••• L••
Latest filing Feb 15, 2024
First filing on the tape Aug 7, 2020 · 7 filings
RAUM
$290M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$277M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$290M as of Feb 15, 2024
Mar 3, 2021$154M then
HNW client RAUM$213M as of Feb 15, 2024
Mar 3, 2021$106M then
State-registered IARs (5.B.3)4 as of Feb 15, 2024
Mar 3, 20213 then
Employees (5.A)6 as of Feb 15, 2024
Mar 3, 20215 then
Private funds: no history
RAUM +51% over the last fiscal year+24% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 15, 2024; every figure names its basis
- RAUM per advisor
- $72.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $289,261derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -23%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$213M74%
- Individuals$63.6M22%
- Pension and profit-sharing plans$13.2M4.5%
- Individual clients
- 310reported
- HNW clients
- 67reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 1,003reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- 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
Left, latest
- E••••• B•••• B•••• to W•••••• A•••••••• L••Aug 23, 2024 · RIA to RIA
- B•••• M••••• C••••• to W•••••• A•••••••• L••Aug 23, 2024 · RIA to RIA
- N••••• E•••••• to W•••••• A•••••••• L••Aug 23, 2024 · RIA to RIA
- P•••••• C••• S••••• to W•••••• A•••••••• L••Aug 23, 2024 · RIA to RIA
- E••••• B•••• B•••• to C•••••• P•••••••• L••Dec 31, 2005 · Other
- S••••• J• S••••••• to A•••• A••••••••Dec 31, 2005 · Other
Joined, latest
- B•••• M••••• C••••• from E••••• J••••Mar 5, 2019 · Affiliated broker-dealer or bank to independent RIA
- E••••• B•••• B•••• from C•••••• P•••••••• L••Feb 6, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for W•••••• A•••••••• L••Aug 23, 2024 · Peachtree City, Ga · f••• absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••••• B•••• · Founding Partnercontrolsince 03/2019 · owns 50% to 75%
- C•••••• B••••• M••••• · Chief Compliance Officer/Partnercontrolsince 03/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
- T•• C••••• L•• F•••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Peachtree City, Ga · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 507 to 1,003Jan 31, 2023 to Feb 15, 2024
- Charity clients · 2 to 0Jan 31, 2023 to Feb 15, 2024
- Corporate clients · unset to 0.0Jan 31, 2023 to Feb 15, 2024
- HNW clients · 55 to 67Jan 31, 2023 to Feb 15, 2024
- Individual clients · 437 to 310Jan 31, 2023 to Feb 15, 2024
- Pension plan clients · 10 to 11Jan 31, 2023 to Feb 15, 2024
- Pooled vehicle clients · unset to 0.0Jan 31, 2023 to Feb 15, 2024
- Financial planning clients · 101-250 to unsetJan 31, 2023 to Feb 15, 2024
- Discretionary RAUM · $191M to $289MJan 31, 2023 to Feb 15, 2024
- HNW RAUM · $118M to $213MJan 31, 2023 to Feb 15, 2024
- Individual RAUM · $67.9M to $63.6MJan 31, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $1.3M to $1.1MJan 31, 2023 to Feb 15, 2024
- Pension RAUM · $5.5M to $13.2MJan 31, 2023 to Feb 15, 2024
- Pooled vehicle RAUM · unset to 0.0Jan 31, 2023 to Feb 15, 2024
- RAUM · $193M to $290MJan 31, 2023 to Feb 15, 2024
- Accounts · 859 to 507May 16, 2022 to Jan 31, 2023
- Charity clients · 1 to 2May 16, 2022 to Jan 31, 2023
- HNW clients · 115 to 55May 16, 2022 to Jan 31, 2023
- Individual clients · 452 to 437May 16, 2022 to Jan 31, 2023
- Pension plan clients · 1 to 10May 16, 2022 to Jan 31, 2023
- Discretionary RAUM · $176M to $191MMay 16, 2022 to Jan 31, 2023
- HNW RAUM · $130M to $118MMay 16, 2022 to Jan 31, 2023
- Individual RAUM · $48.0M to $67.9MMay 16, 2022 to Jan 31, 2023
- Non-discretionary RAUM · $1.9M to $1.3MMay 16, 2022 to Jan 31, 2023
- Pension RAUM · $0 to $5.5MMay 16, 2022 to Jan 31, 2023
- RAUM · $178M to $193MMay 16, 2022 to Jan 31, 2023
- Accounts · 657 to 859Aug 19, 2021 to Feb 8, 2022
- Advisory employees · 3 to 4Aug 19, 2021 to Feb 8, 2022
- Advisory activities · 1 to 2Aug 19, 2021 to Feb 8, 2022
- Corporate clients · 4.0 to unsetAug 19, 2021 to Feb 8, 2022
- HNW clients · 45 to 115Aug 19, 2021 to Feb 8, 2022
- Individual clients · 297 to 452Aug 19, 2021 to Feb 8, 2022
- Pension plan clients · unset to 1.0Aug 19, 2021 to Feb 8, 2022
- Employees · 5 to 6Aug 19, 2021 to Feb 8, 2022
- State-registered IARs · 3 to 4Aug 19, 2021 to Feb 8, 2022
- Discretionary RAUM · $152M to $176MAug 19, 2021 to Feb 8, 2022
- HNW RAUM · $106M to $130MAug 19, 2021 to Feb 8, 2022
- Individual RAUM · $45.7M to $48.0MAug 19, 2021 to Feb 8, 2022
- Non-discretionary RAUM · $1.9M to $1.9MAug 19, 2021 to Feb 8, 2022
- Pension RAUM · unset to 0.0Aug 19, 2021 to Feb 8, 2022
Signals
6 dated events
- P•••••• C••• S••••• left D•••••• A•••• M••••••••• for W•••••• A•••••••• L•• (registered 2024-06-06)Aug 23, 2024 · advisor f••• change · fact
- N••••• E•••••• left D•••••• A•••• M••••••••• for W•••••• A•••••••• L•• (registered 2024-06-24)Aug 23, 2024 · advisor f••• change · fact
- B•••• M••••• C••••• left D•••••• A•••• M••••••••• for W•••••• A•••••••• L•• (registered 2024-06-21)Aug 23, 2024 · advisor f••• change · fact
- E••••• B•••• B•••• left D•••••• A•••• M••••••••• for W•••••• A•••••••• L•• (registered 2024-05-21)Aug 23, 2024 · advisor f••• change · fact
- D•••••• A•••• M•••••••••'s advisors moved to W•••••• A•••••••• L•• (Peachtree City, GA): 4 of 4 registered, on the same dayAug 23, 2024 · f••• absorbed · derived
- D•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Aug 7, 2020 · 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