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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••••••••• F•••••••• A•••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 6, 2012 · 42 filings
SEC status approved since Apr 9, 2014
RAUM
$297M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$296M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$99.0M
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
42 filings and snapshots on the tape
RAUM$297M as of Mar 18, 2026
Mar 6, 2012$81.0M then
HNW client RAUM$265M as of Mar 18, 2026
Jan 29, 2018$116M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 18, 20153 then
Employees (5.A)4 as of Mar 18, 2026
Mar 18, 20156 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $99.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $447,289derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $43.1M, 41 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M89%
- Individuals$30.7M10%
- Charitable organizations$1.3M0.4%
- Individual clients
- 67reported
- HNW clients
- 135reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 664reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.1M for 41 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• J•••••• B••••••Certified Financial Planner, Chartered Financial Consultant | Alpharetta, Ga | Mar 28, 2003 | 40 y | 1 |
| M••• G•••• F•••• K•••••• | Alpharetta, Ga | May 14, 2003 | 27 y | 0 |
| J•••• U•••••••• S••••Certified Financial Planner | Alpharetta, Ga | Jul 8, 2014 | 17 y | 1 |
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
- J•••• K•••• G•••••• to M••••• S••••••Aug 21, 2009 · Other
Joined, latest
- J•••• U•••••••• S•••• from H•••••• B•••Jul 8, 2014 · Other
- J•• J•••••• B•••••• from V••••••• I••••••••• A•••••••• I•••Mar 28, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••• J•••••• · Member, President, Chief Compliance Officer, And Wealth Advisorcontrolsince 11/2000 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 672 to 664Sep 29, 2025 to Mar 18, 2026
- HNW clients · 134 to 135Sep 29, 2025 to Mar 18, 2026
- Individual clients · 62 to 67Sep 29, 2025 to Mar 18, 2026
- Assets in custody · $35.2M to $43.1MSep 29, 2025 to Mar 18, 2026
- Discretionary RAUM · $257M to $296MSep 29, 2025 to Mar 18, 2026
- HNW RAUM · $229M to $265MSep 29, 2025 to Mar 18, 2026
- Individual RAUM · $28.3M to $30.7MSep 29, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $1.0M to $1.2MSep 29, 2025 to Mar 18, 2026
- RAUM · $258M to $297MSep 29, 2025 to Mar 18, 2026
- Accounts · 682 to 672Mar 27, 2024 to Apr 3, 2025
- HNW clients · 107 to 134Mar 27, 2024 to Apr 3, 2025
- Individual clients · 87 to 62Mar 27, 2024 to Apr 3, 2025
- Assets in custody · $31.7M to $35.2MMar 27, 2024 to Apr 3, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Apr 3, 2025
- Discretionary RAUM · $234M to $257MMar 27, 2024 to Apr 3, 2025
- HNW RAUM · $194M to $229MMar 27, 2024 to Apr 3, 2025
- Individual RAUM · $39.9M to $28.3MMar 27, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $982,190 to $1.0MMar 27, 2024 to Apr 3, 2025
- RAUM · $235M to $258MMar 27, 2024 to Apr 3, 2025
- Accounts · 657 to 682Mar 17, 2023 to Mar 27, 2024
- HNW clients · 151 to 107Mar 17, 2023 to Mar 27, 2024
- Individual clients · 42 to 87Mar 17, 2023 to Mar 27, 2024
- Assets in custody · $31.6M to $31.7MMar 17, 2023 to Mar 27, 2024
- Discretionary RAUM · $200M to $234MMar 17, 2023 to Mar 27, 2024
- HNW RAUM · $186M to $194MMar 17, 2023 to Mar 27, 2024
- Individual RAUM · $13.4M to $39.9MMar 17, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $599,017 to $982,190Mar 17, 2023 to Mar 27, 2024
- RAUM · $201M to $235MMar 17, 2023 to Mar 27, 2024
- Accounts · 646 to 657Dec 15, 2022 to Mar 17, 2023
- HNW clients · 98 to 151Dec 15, 2022 to Mar 17, 2023
- Individual clients · 91 to 42Dec 15, 2022 to Mar 17, 2023
- Assets in custody · $35.7M to $31.6MDec 15, 2022 to Mar 17, 2023
- Discretionary RAUM · $225M to $200MDec 15, 2022 to Mar 17, 2023
- HNW RAUM · $185M to $186MDec 15, 2022 to Mar 17, 2023
- Individual RAUM · $38.3M to $13.4MDec 15, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $723,570 to $599,017Dec 15, 2022 to Mar 17, 2023
- RAUM · $225M to $201MDec 15, 2022 to Mar 17, 2023
- Accounts · 499 to 646Nov 30, 2021 to Mar 28, 2022
- HNW clients · 85 to 98Nov 30, 2021 to Mar 28, 2022
- Individual clients · 95 to 91Nov 30, 2021 to Mar 28, 2022
Signals
1 dated events
- T••••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 18, 2014 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@tandemgrowth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 770-641-6361reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 770-641-6360reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/TandemGrowth-financial-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- T•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-641-6360reportedpublic record, Form ADV, Mar 18, 2026
- Team page
- tandemgrowth.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $99.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026