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•• • E••••• L••
Latest filing Jul 17, 2023
First filing on the tape Mar 19, 2012 · 20 filings
RAUM
$384M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$365M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$384M as of Mar 27, 2023
Mar 19, 2012$167M then
HNW client RAUM$332M as of Mar 27, 2023
Mar 22, 2018$180M then
State-registered IARs (5.B.3)6 as of Mar 27, 2023
Mar 19, 20120 then
Employees (5.A)7 as of Mar 27, 2023
Mar 18, 20136 then
Private funds: no history
RAUM -6.9% over the last fiscal year+7.1% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Jul 17, 2023; every figure names its basis
- RAUM per advisor
- $64.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $432,983derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $126M, 115 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$332M86%
- Individuals$32.5M8.5%
- Pension and profit-sharing plans$10.4M2.7%
- Charitable organizations$9.2M2.4%
- Individual clients
- 110reported
- HNW clients
- 146reported
- Pension plan clients
- 9reported
- Charitable clients
- 3reported
- Accounts
- 887reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $126M for 115 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
Left, latest
- W•••••• W•••••• E•••• to M••••• G••••• A••••••• I•••Mar 21, 2024 · RIA to RIA
- M••••••• S••••• B•••••• to M••••• G••••• A••••••• I•••Jan 5, 2024 · RIA to RIA
- A••••• G••••••• V••••• to M••••• G••••• A••••••• I•••Jan 5, 2024 · RIA to RIA
- M•••••• E••••• H••••• to M••••• G••••• A••••••• I•••Jan 5, 2024 · RIA to RIA
- E•••••••• R••• G•••••• to M••••• G••••• A••••••• I•••Jan 5, 2024 · RIA to RIA
Joined, latest
- M••••••• S••••• B•••••• from W•••• W••••• M••••••••• I••Sep 20, 2022 · RIA to RIA
- M•••••• E••••• H••••• from V•••• F•••••••• A•••••••• I•••Jul 15, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M••••• G••••• A••••••• I•••Jan 5, 2024 · Macon, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••• J•••• R•••••• · President/Managing Membercontrolsince 06/1998 · owns less than 5%
- E••••• W••••••• W•••••• · Member, Chief Compliance Officercontrolsince 07/2004 · owns less than 5%
- H•••••• M••••••• E••••• · Member, Senior Financial Plannercontrolsince 01/2018 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · 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 |
|---|---|---|---|---|---|
| Macon, Ga · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Blairsville, GA1 employees
What changed
consecutive filings, newest first
- Employees · 7 to 6Mar 27, 2023 to Jul 17, 2023
- Accounts · 833 to 887Jul 21, 2022 to Mar 27, 2023
- Advisory employees · 4 to 6Jul 21, 2022 to Mar 27, 2023
- Advisory activities · 7 to 6Jul 21, 2022 to Mar 27, 2023
- Charity clients · 4 to 3Jul 21, 2022 to Mar 27, 2023
- HNW clients · 114 to 146Jul 21, 2022 to Mar 27, 2023
- Individual clients · 144 to 110Jul 21, 2022 to Mar 27, 2023
- Pension plan clients · 7 to 9Jul 21, 2022 to Mar 27, 2023
- Assets in custody · $135M to $126MJul 21, 2022 to Mar 27, 2023
- State-registered IARs · 4 to 6Jul 21, 2022 to Mar 27, 2023
- Discretionary RAUM · $411M to $383MJul 21, 2022 to Mar 27, 2023
- HNW RAUM · $335M to $332MJul 21, 2022 to Mar 27, 2023
- Individual RAUM · $60.0M to $32.5MJul 21, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $1.0M to $1.1MJul 21, 2022 to Mar 27, 2023
- Pension RAUM · $7.4M to $10.4MJul 21, 2022 to Mar 27, 2023
- RAUM · $412M to $384MJul 21, 2022 to Mar 27, 2023
- Accounts · 773 to 833Mar 29, 2021 to Mar 28, 2022
- Advisory activities · 5 to 7Mar 29, 2021 to Mar 28, 2022
- HNW clients · 99 to 114Mar 29, 2021 to Mar 28, 2022
- Individual clients · 146 to 144Mar 29, 2021 to Mar 28, 2022
- Pension plan clients · 8 to 7Mar 29, 2021 to Mar 28, 2022
- Assets in custody · $112M to $135MMar 29, 2021 to Mar 28, 2022
- Financial planning clients · 101-250 to 251-500Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $360M to $411MMar 29, 2021 to Mar 28, 2022
- HNW RAUM · $289M to $335MMar 29, 2021 to Mar 28, 2022
- Individual RAUM · $55.4M to $60.0MMar 29, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $932,383 to $1.0MMar 29, 2021 to Mar 28, 2022
- Pension RAUM · $7.9M to $7.4MMar 29, 2021 to Mar 28, 2022
- RAUM · $361M to $412MMar 29, 2021 to Mar 28, 2022
- Accounts · 784 to 773May 21, 2020 to Mar 29, 2021
- Advisory activities · 4 to 5May 21, 2020 to Mar 29, 2021
- Charity clients · 3 to 4May 21, 2020 to Mar 29, 2021
- HNW clients · 92 to 99May 21, 2020 to Mar 29, 2021
- Individual clients · 135 to 146May 21, 2020 to Mar 29, 2021
- Pension plan clients · 7 to 8May 21, 2020 to Mar 29, 2021
- Assets in custody · $106M to $112MMay 21, 2020 to Mar 29, 2021
- Employees · 6 to 7May 21, 2020 to Mar 29, 2021
- Discretionary RAUM · $312M to $360MMay 21, 2020 to Mar 29, 2021
- HNW RAUM · $250M to $289MMay 21, 2020 to Mar 29, 2021
- Individual RAUM · $48.6M to $55.4MMay 21, 2020 to Mar 29, 2021
Signals
6 dated events
- W•••••• W•••••• E•••• left D•• • E••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-08-24)Mar 21, 2024 · Advisor changed firm · fact
- M••••••• S••••• B•••••• left D•• • E••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-07-31)Jan 5, 2024 · Advisor changed firm · fact
- E•••••••• R••• G•••••• left D•• • E••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-07-27)Jan 5, 2024 · Advisor changed firm · fact
- A••••• G••••••• V••••• left D•• • E••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-07-26)Jan 5, 2024 · Advisor changed firm · fact
- M•••••• E••••• H••••• left D•• • E••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-08-24)Jan 5, 2024 · Advisor changed firm · fact
- D•• • E••••• L••'s advisors moved to M••••• G••••• A••••••• I••• (Macon, GA): 4 of 5 registered, on the same dayJan 5, 2024 · Firm absorbed (people side) · derived
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