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
L••••• I••••••••• M••••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Mar 19, 2012 · 8 filings
SEC status approved since Apr 25, 2024
RAUM
$296M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$296M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$296M as of Mar 19, 2026
Mar 19, 2012$42.1M then
HNW client RAUM$289M as of Mar 19, 2026
Feb 20, 2025$286M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 19, 20120 then
Employees (5.A)2 as of Mar 19, 2026
Feb 20, 20252 then
Private funds: no history
RAUM +2.0% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$289M98%
- Individuals$6.9M2.3%
- Individual clients
- 29reported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 105reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• W• L••••• | Atlanta, Ga | Mar 30, 2006 | 25 y | 0 |
| J•••• F•••• L•••••Personal Financial Specialist | Atlanta, Ga | Mar 30, 2006 | 39 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
- L•••••• J••••• F•••• · Presidentcontrolsince 09/1987 · owns less than 5%
- L•••••• S••••• W• · Vice President, Chief Compliance Officercontrolsince 12/2003 · 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 |
|---|---|---|---|---|---|
| Atlanta, Ga | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 99 to 105Feb 20, 2025 to Mar 19, 2026
- HNW clients · 78 to 76Feb 20, 2025 to Mar 19, 2026
- Individual clients · 21 to 29Feb 20, 2025 to Mar 19, 2026
- Discretionary RAUM · $291M to $296MFeb 20, 2025 to Mar 19, 2026
- HNW RAUM · $286M to $289MFeb 20, 2025 to Mar 19, 2026
- Individual RAUM · $4.3M to $6.9MFeb 20, 2025 to Mar 19, 2026
- RAUM · $291M to $296MFeb 20, 2025 to Mar 19, 2026
- HNW clients · 82 to 78Aug 20, 2024 to Feb 20, 2025
- Individual clients · 17 to 21Aug 20, 2024 to Feb 20, 2025
- Financial planning clients · 1-10 to 1-10Aug 20, 2024 to Feb 20, 2025
- HQ city · unset to Aug 20, 2024 to Feb 20, 2025
- HQ state · unset to Aug 20, 2024 to Feb 20, 2025
- Discretionary RAUM · $261M to $291MAug 20, 2024 to Feb 20, 2025
- HNW RAUM · $258M to $286MAug 20, 2024 to Feb 20, 2025
- Individual RAUM · $3.3M to $4.3MAug 20, 2024 to Feb 20, 2025
- RAUM · $261M to $291MAug 20, 2024 to Feb 20, 2025
- Accounts · 53 to 99Mar 20, 2012 to Mar 29, 2024
- Advisory employees · unset to 2.0Mar 20, 2012 to Mar 29, 2024
- HNW clients · unset to 82.0Mar 20, 2012 to Mar 29, 2024
- Individual clients · unset to 17.0Mar 20, 2012 to Mar 29, 2024
- Employees · unset to 2.0Mar 20, 2012 to Mar 29, 2024
- State-registered IARs · 0 to 2Mar 20, 2012 to Mar 29, 2024
- Other offices · unset to 0.0Mar 20, 2012 to Mar 29, 2024
- Discretionary RAUM · $42.1M to $261MMar 20, 2012 to Mar 29, 2024
- HNW RAUM · unset to 258199533.0Mar 20, 2012 to Mar 29, 2024
- Individual RAUM · unset to 3259020.0Mar 20, 2012 to Mar 29, 2024
- Pension RAUM · unset to 0.0Mar 20, 2012 to Mar 29, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 20, 2012 to Mar 29, 2024
- RAUM · $42.1M to $261MMar 20, 2012 to Mar 29, 2024
Signals
1 dated events
- L••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 29, 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 email
- i•••@l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-237-7794reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-262-6100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L•••••INVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 404-237-7794reportedpublic record, Form ADV, Mar 19, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026