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••••••••• M••••••••• I•••
Latest filing Jul 2, 2026
First filing on the tape Jan 12, 2012 · 44 filings
SEC status approved since May 11, 2004
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
14%
$309M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$254M
derived; firm RAUM over IAPD count
Employees
19
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$2.3B as of Jul 2, 2026
Mar 23, 2012$405M then
HNW client RAUM$267M as of Jul 2, 2026
Mar 13, 2018$198M then
State-registered IARs (5.B.3)8 as of Jul 2, 2026
Mar 25, 20133 then
Employees (5.A)19 as of Jul 2, 2026
Mar 25, 201312 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $254MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.1B, 159 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$2.0B86%
- High-net-worth individuals$267M12%
- Individuals$42.2M1.8%
- Individual clients
- 143reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- 97reported
- Accounts
- 1,514reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 159 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.14 fund_share=0.0 institutional_share=0.86 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• S••••• R••••••• | Duluth, Ga | Aug 29, 2005 | 37 y | 1 |
| B•••• C•••••• T•••••Chartered Financial Analyst | Duluth, Ga | Aug 29, 2005 | 30 y | 1 |
| C••• A•••••• C••••••• | Duluth, Ga | Feb 6, 2014 | 14 y | 0 |
| S••••• W•••••• R•••••••Chartered Financial Analyst | Duluth, Ga | Feb 14, 2014 | 18 y | 0 |
| K•••••• R••••••• M••••••Chartered Financial Analyst | Duluth, Ga | Nov 21, 2016 | 10 y | 0 |
| A••••• F•••• G••• | Duluth, Ga | Apr 15, 2020 | 10 y | 0 |
| E•••••••• C••••••• G••••• | Duluth, Ga | Jul 24, 2023 | 13 y | 1 |
| C•••• J•••• W••••• | Duluth, Ga | Aug 7, 2023 | 13 y | 0 |
| N••••••• C•••••••• S••••• | Duluth, Ga | Jun 23, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- N••••••• C•••••••• S••••• from N••••••••• M••••• I••••••••• S•••••••••Jun 23, 2026 · Other
- E•••••••• C••••••• G••••• from B••• R•••• W••••• P•••••••Jul 24, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• S•••••• W•••••• · Principalcontrolsince 01/2019 · owns 5% to 10%
- R•••••••• T•••••• S••••• · Chief Financial Officercontrolsince 06/2005 · owns less than 5%
- S••••• L•••• E•••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- T•••••• B••••• C•••••• · Principalcontrolsince 01/1999 · owns 50% to 75%
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 | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,478 to 1,514Mar 31, 2025 to Mar 26, 2026
- Advisory employees · 8 to 9Mar 31, 2025 to Mar 26, 2026
- Charity clients · 91 to 97Mar 31, 2025 to Mar 26, 2026
- HNW clients · 41 to 46Mar 31, 2025 to Mar 26, 2026
- Assets in custody · $747M to $1.1BMar 31, 2025 to Mar 26, 2026
- Employees · 18 to 19Mar 31, 2025 to Mar 26, 2026
- State-registered IARs · 7 to 8Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.9B to $2.3BMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $228M to $267MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $42.5M to $42.2MMar 31, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $330,312 to $318,806Mar 31, 2025 to Mar 26, 2026
- RAUM · $1.9B to $2.3BMar 31, 2025 to Mar 26, 2026
- Accounts · 1,457 to 1,478Aug 19, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Aug 19, 2024 to Mar 31, 2025
- Charity clients · 85 to 91Aug 19, 2024 to Mar 31, 2025
- HNW clients · 38 to 41Aug 19, 2024 to Mar 31, 2025
- Individual clients · 155 to 143Aug 19, 2024 to Mar 31, 2025
- Assets in custody · $730M to $747MAug 19, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Aug 19, 2024 to Mar 31, 2025
- State-registered IARs · 8 to 7Aug 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.7B to $1.9BAug 19, 2024 to Mar 31, 2025
- HNW RAUM · $213M to $228MAug 19, 2024 to Mar 31, 2025
- Individual RAUM · $47.8M to $42.5MAug 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $280,001 to $330,312Aug 19, 2024 to Mar 31, 2025
- RAUM · $1.7B to $1.9BAug 19, 2024 to Mar 31, 2025
- Accounts · 1,426 to 1,457Oct 12, 2023 to Mar 13, 2024
- Advisory employees · 6 to 7Oct 12, 2023 to Mar 13, 2024
- Charity clients · 86 to 85Oct 12, 2023 to Mar 13, 2024
- HNW clients · 36 to 38Oct 12, 2023 to Mar 13, 2024
- Individual clients · 160 to 155Oct 12, 2023 to Mar 13, 2024
- Assets in custody · $626M to $730MOct 12, 2023 to Mar 13, 2024
- Employees · 16 to 18Oct 12, 2023 to Mar 13, 2024
- State-registered IARs · 6 to 8Oct 12, 2023 to Mar 13, 2024
- Discretionary RAUM · $1.3B to $1.7BOct 12, 2023 to Mar 13, 2024
- HNW RAUM · $196M to $213MOct 12, 2023 to Mar 13, 2024
- Individual RAUM · $47.3M to $47.8MOct 12, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $531,398 to $280,001Oct 12, 2023 to Mar 13, 2024
- RAUM · $1.3B to $1.7BOct 12, 2023 to Mar 13, 2024
- Accounts · 1,574 to 1,426Nov 2, 2022 to Mar 8, 2023
- Advisory employees · 5 to 6Nov 2, 2022 to Mar 8, 2023
Signals
1 dated events
- E•••• L••• S•••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• M••••••••• I•••Mar 8, 2023 · Control person joined · 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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/C•••••••••-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-449-7799reportedpublic record, Form ADV, Jul 2, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $254Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026