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

J•• A••••••• G••••• I•••

Former SEC-registered adviserAtlanta, GeorgiaCRD 125268SEC 801-62265IAPD
Latest filing Feb 28, 2018
First filing on the tape Mar 14, 2012 · 14 filings
RAUM
$167M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$167M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$167M as of Feb 20, 2018
Mar 14, 2012$90.3M then
HNW client RAUM: $126M
State-registered IARs (5.B.3)2 as of Feb 20, 2018
Mar 14, 20120 then
Employees (5.A)6 as of Feb 20, 2018
Mar 4, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 28, 2018; every figure names its basis
RAUM per advisor
$83.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
77derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$213,814derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$2.1M, 17 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
  • High-net-worth individuals$126M75%
  • Individuals$41.1M25%
Individual clients
89reported
HNW clients
64reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
782reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$2.1M for 17 clientsreported
Compensation
% of AUM, fixedreported
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
    • H•••• J•••••••• P••• · Presidentcontrol
      since 10/1992 · owns 75% or more
    • H••••• C•••••• A••• · Principal
      since 06/2012 · owns 10% to 25%
    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
    • Assets in custody · unset to 2114330.0
      Feb 20, 2018 to Feb 28, 2018
    • Custody of client assets · false to true
      Feb 20, 2018 to Feb 28, 2018
    • Accounts · 709 to 782
      Feb 27, 2017 to Feb 20, 2018
    • HNW clients · unset to 64.0
      Feb 27, 2017 to Feb 20, 2018
    • Individual clients · unset to 89.0
      Feb 27, 2017 to Feb 20, 2018
    • Employees · 5 to 6
      Feb 27, 2017 to Feb 20, 2018
    • Other offices · unset to 0.0
      Feb 27, 2017 to Feb 20, 2018
    • Discretionary RAUM · $143M to $161M
      Feb 27, 2017 to Feb 20, 2018
    • HNW RAUM · unset to 126142972.0
      Feb 27, 2017 to Feb 20, 2018
    • Individual RAUM · unset to 41059807.0
      Feb 27, 2017 to Feb 20, 2018
    • Non-discretionary RAUM · $3.5M to $6.6M
      Feb 27, 2017 to Feb 20, 2018
    • RAUM · $146M to $167M
      Feb 27, 2017 to Feb 20, 2018
    • Accounts · 170 to 709
      Mar 9, 2016 to Feb 27, 2017
    • Employees · 4 to 5
      Mar 9, 2016 to Feb 27, 2017
    • Discretionary RAUM · $129M to $143M
      Mar 9, 2016 to Feb 27, 2017
    • Non-discretionary RAUM · $0 to $3.5M
      Mar 9, 2016 to Feb 27, 2017
    • RAUM · $129M to $146M
      Mar 9, 2016 to Feb 27, 2017
    • Accounts · 141 to 170
      Nov 5, 2015 to Mar 9, 2016
    • Financial planning clients · 51-100 to 101-250
      Nov 5, 2015 to Mar 9, 2016
    • Discretionary RAUM · $124M to $129M
      Nov 5, 2015 to Mar 9, 2016
    • RAUM · $124M to $129M
      Nov 5, 2015 to Mar 9, 2016
    • Accounts · 143 to 141
      Mar 5, 2014 to Jan 27, 2015
    • Discretionary RAUM · $112M to $124M
      Mar 5, 2014 to Jan 27, 2015
    • Non-discretionary RAUM · $3.3M to $0
      Mar 5, 2014 to Jan 27, 2015
    • RAUM · $115M to $124M
      Mar 5, 2014 to Jan 27, 2015
    • Accounts · 138 to 143
      Mar 7, 2013 to Jan 29, 2014
    • Discretionary RAUM · $95.2M to $112M
      Mar 7, 2013 to Jan 29, 2014
    • Non-discretionary RAUM · $1.7M to $3.3M
      Mar 7, 2013 to Jan 29, 2014
    • RAUM · $97.0M to $115M
      Mar 7, 2013 to Jan 29, 2014
    • Accounts · 120 to 138
      Mar 14, 2012 to Mar 4, 2013
    • Advisory employees · unset to 2.0
      Mar 14, 2012 to Mar 4, 2013
    • Employees · unset to 4.0
      Mar 14, 2012 to Mar 4, 2013
    • State-registered IARs · 0 to 2
      Mar 14, 2012 to Mar 4, 2013
    • Discretionary RAUM · $87.7M to $95.2M
      Mar 14, 2012 to Mar 4, 2013
    • Non-discretionary RAUM · $2.6M to $1.7M
      Mar 14, 2012 to Mar 4, 2013
    • RAUM · $90.3M to $97.0M
      Mar 14, 2012 to Mar 4, 2013
    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