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Former SEC-registered adviserFormer SEC adviser· Alpharetta, Georgia

Former SEC-registered adviser, based in Alpharetta, Georgia, reporting $336M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$336M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+19%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $335M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 126060 · SEC 801-66580 · 14 filingsShow
CRD 126060SEC 801-66580First filing on the tape Jan 11, 2012, latest Mar 10, 2021IAPD
RAUM
$336M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$335M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$336M as of Mar 10, 2021
Jan 11, 2012$92.8M then
HNW client RAUM$259M as of Mar 10, 2021
Mar 29, 2018$135M then
State-registered IARs (5.B.3)2 as of Mar 10, 2021
Mar 25, 20132 then
Employees (5.A)3 as of Mar 10, 2021
Mar 25, 20132 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2021; every figure names its basis
RAUM per advisor
$168MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
154derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$380,746derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$259M77%
  • Individuals$75.4M22%
  • Corporations and businesses$1.4M0.4%
Individual clients
169reported
HNW clients
139reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
883reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••••• S•••••• F•••••• · Chief Compliance Officercontrol
      since 03/2003 · owns less than 5%
    • R•••• M••••••• S•••• · Presidentcontrol
      since 09/1996 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 845 to 883
      Jun 17, 2020 to Mar 10, 2021
    • HNW clients · 101 to 139
      Jun 17, 2020 to Mar 10, 2021
    • Individual clients · 203 to 169
      Jun 17, 2020 to Mar 10, 2021
    • Discretionary RAUM · $283M to $336M
      Jun 17, 2020 to Mar 10, 2021
    • HNW RAUM · $197M to $259M
      Jun 17, 2020 to Mar 10, 2021
    • Individual RAUM · $85.0M to $75.4M
      Jun 17, 2020 to Mar 10, 2021
    • RAUM · $283M to $336M
      Jun 17, 2020 to Mar 10, 2021
    • Accounts · 809 to 845
      Jul 17, 2019 to Mar 25, 2020
    • HNW clients · 88 to 101
      Jul 17, 2019 to Mar 25, 2020
    • Discretionary RAUM · $217M to $283M
      Jul 17, 2019 to Mar 25, 2020
    • HNW RAUM · $140M to $197M
      Jul 17, 2019 to Mar 25, 2020
    • Individual RAUM · $75.1M to $85.0M
      Jul 17, 2019 to Mar 25, 2020
    • RAUM · $217M to $283M
      Jul 17, 2019 to Mar 25, 2020
    • Accounts · 863 to 809
      Mar 29, 2018 to Mar 19, 2019
    • Corporate clients · 10 to 3
      Mar 29, 2018 to Mar 19, 2019
    • HNW clients · 100 to 88
      Mar 29, 2018 to Mar 19, 2019
    • Individual clients · 157 to 203
      Mar 29, 2018 to Mar 19, 2019
    • Pension plan clients · 25.0 to unset
      Mar 29, 2018 to Mar 19, 2019
    • Discretionary RAUM · $212M to $217M
      Mar 29, 2018 to Mar 19, 2019
    • HNW RAUM · $135M to $140M
      Mar 29, 2018 to Mar 19, 2019
    • Individual RAUM · $68.2M to $75.1M
      Mar 29, 2018 to Mar 19, 2019
    • Pension RAUM · 6742000.0 to unset
      Mar 29, 2018 to Mar 19, 2019
    • RAUM · $212M to $217M
      Mar 29, 2018 to Mar 19, 2019
    • Accounts · 754 to 863
      Mar 27, 2017 to Mar 29, 2018
    • Corporate clients · unset to 10.0
      Mar 27, 2017 to Mar 29, 2018
    • HNW clients · unset to 100.0
      Mar 27, 2017 to Mar 29, 2018
    • Individual clients · unset to 157.0
      Mar 27, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 25.0
      Mar 27, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 27, 2017 to Mar 29, 2018
    • Discretionary RAUM · $188M to $212M
      Mar 27, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 135444000.0
      Mar 27, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 68239000.0
      Mar 27, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 6742000.0
      Mar 27, 2017 to Mar 29, 2018
    • RAUM · $188M to $212M
      Mar 27, 2017 to Mar 29, 2018
    • Accounts · 645 to 754
      Apr 18, 2016 to Mar 27, 2017
    • Discretionary RAUM · $162M to $188M
      Apr 18, 2016 to Mar 27, 2017
    • RAUM · $162M to $188M
      Apr 18, 2016 to Mar 27, 2017
    • Accounts · 577 to 645
      Mar 26, 2015 to Mar 23, 2016
    • Discretionary RAUM · $158M to $162M
      Mar 26, 2015 to Mar 23, 2016
    • RAUM · $158M to $162M
      Mar 26, 2015 to Mar 23, 2016
    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.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026