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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SEC-registered adviser
C••• O••••••• W••••• A•••••••• I•••
Latest filing Feb 18, 2026
First filing on the tape Jan 30, 2012 · 38 filings
SEC status approved since Aug 28, 2006
RAUM
$265M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$265M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$88.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$265M as of Feb 18, 2026
Jan 30, 2012$130M then
HNW client RAUM$250M as of Feb 18, 2026
Mar 13, 2018$198M then
State-registered IARs (5.B.3)2 as of Feb 18, 2026
Jan 30, 20120 then
Employees (5.A)3 as of Feb 18, 2026
Feb 26, 20131 then
Private funds: no history
RAUM +13% over the last fiscal year+5.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $88.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $570,291derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $37.8M, 11 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$250M94%
- Individuals$15.0M5.7%
- Individual clients
- 66reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 464reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.8M for 11 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 |
|---|---|---|---|---|
| C••••••• W••••• O•••••••Chartered Financial Consultant | Duluth, Ga | Mar 13, 2003 | 34 y | 0 |
| K•••• E•••• O•••••••Chartered Financial Consultant | Duluth, Ga | Jun 14, 2023 | 12 y | 0 |
| K••••• L••• J•••• | Duluth, Ga | Feb 16, 2025 | 12 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••••• C•••••••• W••••• · President/Chief Compliance Officercontrolsince 01/1995 · 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 |
|---|---|---|---|---|---|
| Duluth, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 451 to 464Mar 17, 2025 to Feb 18, 2026
- HNW clients · 56 to 69Mar 17, 2025 to Feb 18, 2026
- Individual clients · 48 to 66Mar 17, 2025 to Feb 18, 2026
- Assets in custody · $26.3M to $37.8MMar 17, 2025 to Feb 18, 2026
- Employees · 2 to 3Mar 17, 2025 to Feb 18, 2026
- Discretionary RAUM · $213M to $251MMar 17, 2025 to Feb 18, 2026
- HNW RAUM · $210M to $250MMar 17, 2025 to Feb 18, 2026
- Individual RAUM · $23.5M to $15.0MMar 17, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $20.5M to $13.3MMar 17, 2025 to Feb 18, 2026
- RAUM · $233M to $265MMar 17, 2025 to Feb 18, 2026
- Accounts · 434 to 451Aug 8, 2024 to Mar 17, 2025
- Advisory employees · 3 to 2Aug 8, 2024 to Mar 17, 2025
- HNW clients · 53 to 56Aug 8, 2024 to Mar 17, 2025
- Individual clients · 39 to 48Aug 8, 2024 to Mar 17, 2025
- Pension plan clients · 4.0 to unsetAug 8, 2024 to Mar 17, 2025
- Assets in custody · $93.2M to $26.3MAug 8, 2024 to Mar 17, 2025
- Employees · 3 to 2Aug 8, 2024 to Mar 17, 2025
- Financial planning clients · 26-50 to 26-50Aug 8, 2024 to Mar 17, 2025
- Other offices · 2 to 1Aug 8, 2024 to Mar 17, 2025
- Discretionary RAUM · $194M to $213MAug 8, 2024 to Mar 17, 2025
- HNW RAUM · $194M to $210MAug 8, 2024 to Mar 17, 2025
- Individual RAUM · $13.0M to $23.5MAug 8, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $20.3M to $20.5MAug 8, 2024 to Mar 17, 2025
- Pension RAUM · 7844998.0 to unsetAug 8, 2024 to Mar 17, 2025
- RAUM · $215M to $233MAug 8, 2024 to Mar 17, 2025
- Other offices · 0 to 2Jul 29, 2024 to Aug 8, 2024
- Advisory employees · 2 to 3May 3, 2024 to Jul 29, 2024
- Employees · 2 to 3May 3, 2024 to Jul 29, 2024
- Accounts · 473 to 434Feb 29, 2024 to Mar 25, 2024
- HNW clients · 44 to 53Feb 29, 2024 to Mar 25, 2024
- Pension plan clients · unset to 4.0Feb 29, 2024 to Mar 25, 2024
- Assets in custody · $115M to $93.2MFeb 29, 2024 to Mar 25, 2024
- Employees · 3 to 2Feb 29, 2024 to Mar 25, 2024
- Discretionary RAUM · $162M to $194MFeb 29, 2024 to Mar 25, 2024
- HNW RAUM · $214M to $194MFeb 29, 2024 to Mar 25, 2024
- Individual RAUM · $12.8M to $13.0MFeb 29, 2024 to Mar 25, 2024
- Non-discretionary RAUM · $65.1M to $20.3MFeb 29, 2024 to Mar 25, 2024
- Pension RAUM · unset to 7844998.0Feb 29, 2024 to Mar 25, 2024
- RAUM · $227M to $215MFeb 29, 2024 to Mar 25, 2024
- Advisory activities · 3 to 4Aug 25, 2023 to Feb 29, 2024
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
- Business phone
- 770-368-9906reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-368-9919reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/c-w-o-conner-wealth-advisors-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- cwoconner.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 770-368-9919reportedpublic record, Form ADV, Feb 18, 2026
- Contact form
- cwoconner.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $88.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026