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

C•••••• R••••••• A•••••••• L••

Former SEC-registered adviserSuwanee, GeorgiaCRD 125621SEC 801-65240IAPD
Latest filing Jul 8, 2019
First filing on the tape Feb 2, 2012 · 20 filings
RAUM
$48.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$44.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$16.1M
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
20 filings and snapshots on the tape
RAUM$49.7M as of Mar 28, 2019
Mar 29, 2012$71.8M then
HNW client RAUM$14.5M as of Mar 28, 2019
Mar 28, 2018$11.0M then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 27, 20135 then
Employees (5.A)4 as of Mar 28, 2019
Mar 27, 20137 then
Private funds1 as of Mar 28, 2018
Mar 30, 20151 then
RAUM -48% over the last fiscal year-22% a year over threeIARs 4 to 3offices 1 to 0
Practice profile
derived from the filing of Jul 8, 2019; every figure names its basis
RAUM per advisor
$16.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$451,558derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.9%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
-47%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-28%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$26.3M54%
  • Individuals$18.5M38%
  • Pension and profit-sharing plans$2.9M6.1%
  • Charitable organizations$387,8090.8%
  • Other investment advisers$162,2710.3%
Individual clients
79reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
107reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••••• D•••• G•••••Suwanee, GaJul 10, 200333 y1
S••••• E••• S••••Sugar Hill, GaDec 14, 200438 y1
W••••• E••••• R•••••••Suwanee, GaApr 23, 202612 y0
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
U••• 5• F•••no longer reportedHedge Fund$112,0002Mar 30, 2015
Owners and control persons
Schedule A and B, latest filing
  • G•••••• K••••••• D•••• · Chief Compliance Officer/Managing Membercontrol
    since 06/2008 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Suwanee, Ga · principal210
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 3
    Mar 28, 2019 to Jul 8, 2019
  • Charity clients · 1.0 to unset
    Mar 28, 2019 to Jul 8, 2019
  • HNW clients · 10 to 15
    Mar 28, 2019 to Jul 8, 2019
  • Individual clients · 81 to 79
    Mar 28, 2019 to Jul 8, 2019
  • Pension plan clients · 2.0 to unset
    Mar 28, 2019 to Jul 8, 2019
  • Commission compensation · true to false
    Mar 28, 2019 to Jul 8, 2019
  • State-registered IARs · 2 to 3
    Mar 28, 2019 to Jul 8, 2019
  • Other offices · 1 to 0
    Mar 28, 2019 to Jul 8, 2019
  • Discretionary RAUM · $49.7M to $48.3M
    Mar 28, 2019 to Jul 8, 2019
  • HNW RAUM · $14.5M to $26.3M
    Mar 28, 2019 to Jul 8, 2019
  • Individual RAUM · $33.0M to $18.5M
    Mar 28, 2019 to Jul 8, 2019
  • Pension RAUM · $1.7M to $2.9M
    Mar 28, 2019 to Jul 8, 2019
  • RAUM · $49.7M to $48.3M
    Mar 28, 2019 to Jul 8, 2019
  • Related adviser · true to false
    Mar 28, 2019 to Jul 8, 2019
  • Accounts · 127 to 107
    Feb 28, 2019 to Mar 28, 2019
  • Advisory employees · 4 to 2
    Feb 28, 2019 to Mar 28, 2019
  • BD registered reps · 4 to 2
    Feb 28, 2019 to Mar 28, 2019
  • Charity clients · unset to 1.0
    Feb 28, 2019 to Mar 28, 2019
  • HNW clients · 6 to 10
    Feb 28, 2019 to Mar 28, 2019
  • Individual clients · 121 to 81
    Feb 28, 2019 to Mar 28, 2019
  • Pension plan clients · unset to 2.0
    Feb 28, 2019 to Mar 28, 2019
  • Employees · 5 to 4
    Feb 28, 2019 to Mar 28, 2019
  • State-registered IARs · 4 to 2
    Feb 28, 2019 to Mar 28, 2019
  • Discretionary RAUM · $93.0M to $49.7M
    Feb 28, 2019 to Mar 28, 2019
  • HNW RAUM · $11.0M to $14.5M
    Feb 28, 2019 to Mar 28, 2019
  • Individual RAUM · $82.0M to $33.0M
    Feb 28, 2019 to Mar 28, 2019
  • Pension RAUM · unset to 1670000.0
    Feb 28, 2019 to Mar 28, 2019
  • RAUM · $93.0M to $49.7M
    Feb 28, 2019 to Mar 28, 2019
  • Private funds · 1 to unset
    Mar 28, 2018 to Aug 27, 2018
  • Financial planning clients · 11-25 to 1-10
    Mar 16, 2018 to Mar 28, 2018
  • Discretionary RAUM · $83.0M to $93.0M
    Mar 16, 2018 to Mar 28, 2018
  • Individual RAUM · $72.0M to $82.0M
    Mar 16, 2018 to Mar 28, 2018
  • RAUM · $83.0M to $93.0M
    Mar 16, 2018 to Mar 28, 2018
  • Accounts · 149 to 127
    Mar 29, 2017 to Mar 16, 2018
  • Advisory employees · 5 to 4
    Mar 29, 2017 to Mar 16, 2018
  • HNW clients · unset to 6.0
    Mar 29, 2017 to Mar 16, 2018
  • Individual clients · unset to 121.0
    Mar 29, 2017 to Mar 16, 2018
  • Employees · 6 to 5
    Mar 29, 2017 to Mar 16, 2018
  • Other offices · unset to 1.0
    Mar 29, 2017 to Mar 16, 2018
  • Discretionary RAUM · $106M to $83.0M
    Mar 29, 2017 to Mar 16, 2018
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.
How to reach
public business contact points only, each with its source
Website
CAPITALR•••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$16.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026