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
S•••••• • S••••• C•••
Legal name P•••••• F• S••••••• C•••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 12, 2024 · 4 filings
SEC status approved since Apr 15, 2024
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$146M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$149M as of Mar 23, 2026
Mar 27, 2025$135M then
HNW client RAUM$66.4M as of Mar 23, 2026
Mar 27, 2025$52.2M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 27, 20252 then
Employees (5.A)3 as of Mar 23, 2026
Mar 27, 20252 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- $74.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 196derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $212,929derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $40.3M, 140 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)
- compensates persons for client referrals (8.G.1)
- 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
- Individuals$79.5M53%
- High-net-worth individuals$66.4M45%
- Corporations and businesses$1.8M1.2%
- Charitable organizations$1.1M0.7%
- Pension and profit-sharing plans$16,8410.0%
- Individual clients
- 362reported
- HNW clients
- 30reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 699reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.3M for 140 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• F••••••• S••••••Chartered Financial Consultant | Watkinsville, Ga | Jan 22, 2015 | 41 y | 1 |
| R••••• W••••• S••••Chartered Financial Consultant | Watkinsville, Ga | Aug 11, 2020 | 10 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
- E•••• W•••••• A•••••• to A•••••• I••••••••• M•••••••••Oct 26, 2017 · RIA to a state-registered adviser
Joined, latest
- E•••• W•••••• A•••••• from A•••••• I••••••••• M•••••••••Oct 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• P••••••• F••••••• · Ceocontrolsince 01/1989 · owns 75% or more
- P•••••••• J••••• C•• · Administratorsince 01/2023 · owns less than 5%
- S••••• R•••••• W••••• · Ccosince 01/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Watkinsville, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Conyers, GA2 employees
- Washington, GA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 23, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-06-02, no on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 789 to 699Jun 2, 2025 to Mar 23, 2026
- Charity clients · 6 to 5Jun 2, 2025 to Mar 23, 2026
- HNW clients · 32 to 30Jun 2, 2025 to Mar 23, 2026
- Individual clients · 447 to 362Jun 2, 2025 to Mar 23, 2026
- Assets in custody · $44.4M to $40.3MJun 2, 2025 to Mar 23, 2026
- Insurance-licensed employees · 0 to 2Jun 2, 2025 to Mar 23, 2026
- Discretionary RAUM · $135M to $149MJun 2, 2025 to Mar 23, 2026
- HNW RAUM · $52.2M to $66.4MJun 2, 2025 to Mar 23, 2026
- Individual RAUM · $78.3M to $79.5MJun 2, 2025 to Mar 23, 2026
- Pension RAUM · $12,952 to $16,841Jun 2, 2025 to Mar 23, 2026
- RAUM · $135M to $149MJun 2, 2025 to Mar 23, 2026
- Assets in custody · unset to 44364547.0Mar 27, 2025 to Jun 2, 2025
- Custody of client assets · false to trueMar 27, 2025 to Jun 2, 2025
- Employees · 2 to 3Mar 27, 2025 to Jun 2, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2025 to Jun 2, 2025
- Accounts · 793 to 789Mar 12, 2024 to Mar 27, 2025
- Charity clients · 3 to 6Mar 12, 2024 to Mar 27, 2025
- Corporate clients · 7 to 8Mar 12, 2024 to Mar 27, 2025
- HNW clients · 25 to 32Mar 12, 2024 to Mar 27, 2025
- Individual clients · 450 to 447Mar 12, 2024 to Mar 27, 2025
- Discretionary RAUM · $119M to $135MMar 12, 2024 to Mar 27, 2025
- HNW RAUM · $40.6M to $52.2MMar 12, 2024 to Mar 27, 2025
- Individual RAUM · $74.5M to $78.3MMar 12, 2024 to Mar 27, 2025
- Pension RAUM · $20,334 to $12,952Mar 12, 2024 to Mar 27, 2025
- RAUM · $119M to $135MMar 12, 2024 to Mar 27, 2025
Signals
1 dated events
- S•••••• • S••••• C••• filed its initial SEC registration (Form ADV)Mar 12, 2024 · 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 phone
- 770-760-8933reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-760-8933reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- s•••••••••.comreportedpublished 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
- $74.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026