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

E•••••••• I•••

Former SEC-registered adviserSavannah, GeorgiaCRD 125320SEC 801-61798IAPD
Latest filing Feb 14, 2015
First filing on the tape Mar 27, 2012 · 9 filings
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$123M as of Feb 14, 2015
Mar 27, 2012$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 14, 2015
Mar 14, 20133 then
Employees (5.A)4 as of Feb 14, 2015
Mar 14, 20135 then
Private funds: no history
RAUM -17% over the last fiscal year-4.7% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 14, 2015; every figure names its basis
RAUM per advisor
$123MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM 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
-17%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 individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
64reported
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
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••••••• C•••••••• W••••• · Managing Principal/Chief Compliance Officercontrol
      since 03/2003 · owns 75% or more
    • W••••••• S••••••• B••• · Principal/Controllercontrol
      since 07/2003 · 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 · 73 to 64
      Oct 20, 2014 to Feb 14, 2015
    • Advisory employees · 2 to 1
      Oct 20, 2014 to Feb 14, 2015
    • State-registered IARs · 2 to 1
      Oct 20, 2014 to Feb 14, 2015
    • Discretionary RAUM · $145M to $123M
      Oct 20, 2014 to Feb 14, 2015
    • Non-discretionary RAUM · $2.2M to $100,354
      Oct 20, 2014 to Feb 14, 2015
    • RAUM · $148M to $123M
      Oct 20, 2014 to Feb 14, 2015
    • Advisory employees · 3 to 2
      Oct 15, 2013 to Feb 15, 2014
    • Employees · 5 to 4
      Oct 15, 2013 to Feb 15, 2014
    • State-registered IARs · 3 to 2
      Oct 15, 2013 to Feb 15, 2014
    • Discretionary RAUM · $160M to $145M
      Oct 15, 2013 to Feb 15, 2014
    • Non-discretionary RAUM · $1.9M to $2.2M
      Oct 15, 2013 to Feb 15, 2014
    • RAUM · $162M to $148M
      Oct 15, 2013 to Feb 15, 2014
    • Accounts · 76 to 73
      Jan 4, 2013 to Mar 14, 2013
    • Advisory employees · 2 to 3
      Jan 4, 2013 to Mar 14, 2013
    • Employees · 4 to 5
      Jan 4, 2013 to Mar 14, 2013
    • State-registered IARs · 2 to 3
      Jan 4, 2013 to Mar 14, 2013
    • Discretionary RAUM · $140M to $160M
      Jan 4, 2013 to Mar 14, 2013
    • Non-discretionary RAUM · $2.2M to $1.9M
      Jan 4, 2013 to Mar 14, 2013
    • RAUM · $142M to $162M
      Jan 4, 2013 to Mar 14, 2013
    • Advisory employees · unset to 2.0
      Aug 14, 2012 to Jan 4, 2013
    • Employees · unset to 4.0
      Aug 14, 2012 to Jan 4, 2013
    • State-registered IARs · unset to 2.0
      Aug 14, 2012 to Jan 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