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
R•••••• Y•••• A•••••••
Legal name R•••••• Y•••• A••••••••• L•••
Latest filing Feb 12, 2026
First filing on the tape Mar 22, 2012 · 31 filings
SEC status approved since Jun 22, 2009
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.2B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
16
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.2B as of Feb 12, 2026
Mar 22, 2012$152M then
HNW client RAUM$735M as of Feb 12, 2026
Mar 8, 2018$198M then
State-registered IARs (5.B.3)8 as of Feb 12, 2026
Mar 19, 20132 then
Employees (5.A)16 as of Feb 12, 2026
Mar 19, 20136 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 8 to 8offices 0 to 1
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 243derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $237,974derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $697M, 1,073 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$735M61%
- Individuals$453M38%
- Pension and profit-sharing plans$6.9M0.6%
- Corporations and businesses$333,0700.0%
- Charitable organizations$255,7400.0%
- Individual clients
- 1,608reported
- HNW clients
- 332reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5,023reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $697M for 1,073 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• S•••••• M••••••Certified Financial Planner | Augusta, Ga | Apr 29, 2003 | 31 y | 0 |
| J••• R••••••• T••••• | Augusta, Ga | Jun 29, 2010 | 19 y | 1 |
| J••• M•••••• T•••••Certified Financial Planner | Augusta, Ga | May 10, 2018 | 12 y | 0 |
| R••• N••• B•••••• | Augusta, Ga | Jan 2, 2019 | 11 y | 0 |
| Z•••••• L• A••••••• | Augusta, Ga | Feb 16, 2021 | 13 y | 1 |
| A•••••• M•••••• G••••• | Augusta, Ga | Aug 17, 2023 | 13 y | 0 |
| J••••• D•••• F••••• | Augusta, Ga | Dec 7, 2023 | 10 y | 0 |
| J••••• S•••••• M•••••• | Augusta, Ga | Oct 27, 2025 | 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
none on the tape
Joined, latest
- Z•••••• L• A••••••• from M••••• S••••••Feb 16, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• K••••••• O• · Member/Shareholdercontrolsince 05/2008 · owns 25% to 50%
- M••••••• W•••••• S•••••• · President/Chief Compliance Officercontrolsince 07/2002 · 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 |
|---|---|---|---|---|---|
| Augusta, Ga · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 12, 2026M••••••• K••••••• O• (MEMBER/SHAREHOLDER) left Schedule A between the filings of 2012-03-22 and 2026-02-12peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,709 to 5,023Oct 23, 2025 to Feb 12, 2026
- Business name · R•••••• Y•••• A••••••••• L••• to R•••••• Y•••• A•••••••Oct 23, 2025 to Feb 12, 2026
- HNW clients · 258 to 332Oct 23, 2025 to Feb 12, 2026
- Individual clients · 1,588 to 1,608Oct 23, 2025 to Feb 12, 2026
- Assets in custody · $530M to $697MOct 23, 2025 to Feb 12, 2026
- Discretionary RAUM · $972M to $1.2BOct 23, 2025 to Feb 12, 2026
- HNW RAUM · $543M to $735MOct 23, 2025 to Feb 12, 2026
- Individual RAUM · $423M to $453MOct 23, 2025 to Feb 12, 2026
- Pension RAUM · $5.4M to $6.9MOct 23, 2025 to Feb 12, 2026
- RAUM · $972M to $1.2BOct 23, 2025 to Feb 12, 2026
- Financial planning clients · 0 to 0Jul 10, 2025 to Oct 23, 2025
- Other offices · 0 to 1Jul 10, 2025 to Oct 23, 2025
- Accounts · 4,349 to 4,709Feb 28, 2024 to Mar 6, 2025
- Advisory employees · 7 to 8Feb 28, 2024 to Mar 6, 2025
- HNW clients · 205 to 258Feb 28, 2024 to Mar 6, 2025
- Individual clients · 1,520 to 1,588Feb 28, 2024 to Mar 6, 2025
- Assets in custody · $417M to $530MFeb 28, 2024 to Mar 6, 2025
- Employees · 15 to 16Feb 28, 2024 to Mar 6, 2025
- State-registered IARs · 7 to 8Feb 28, 2024 to Mar 6, 2025
- Discretionary RAUM · $837M to $972MFeb 28, 2024 to Mar 6, 2025
- HNW RAUM · $444M to $543MFeb 28, 2024 to Mar 6, 2025
- Individual RAUM · $389M to $423MFeb 28, 2024 to Mar 6, 2025
- Pension RAUM · $4.4M to $5.4MFeb 28, 2024 to Mar 6, 2025
- RAUM · $837M to $972MFeb 28, 2024 to Mar 6, 2025
- Accounts · 4,063 to 4,349May 16, 2023 to Feb 28, 2024
- Advisory employees · 6 to 7May 16, 2023 to Feb 28, 2024
- Corporate clients · 3.0 to unsetMay 16, 2023 to Feb 28, 2024
- HNW clients · 150 to 205May 16, 2023 to Feb 28, 2024
- Individual clients · 1,469 to 1,520May 16, 2023 to Feb 28, 2024
- Assets in custody · $319M to $417MMay 16, 2023 to Feb 28, 2024
- Employees · 13 to 15May 16, 2023 to Feb 28, 2024
- State-registered IARs · 6 to 7May 16, 2023 to Feb 28, 2024
- Discretionary RAUM · $684M to $837MMay 16, 2023 to Feb 28, 2024
- HNW RAUM · $333M to $444MMay 16, 2023 to Feb 28, 2024
- Individual RAUM · $348M to $389MMay 16, 2023 to Feb 28, 2024
- Pension RAUM · $2.9M to $4.4MMay 16, 2023 to Feb 28, 2024
- RAUM · $684M to $837MMay 16, 2023 to Feb 28, 2024
- Accounts · 3,621 to 4,063Feb 24, 2022 to Feb 27, 2023
- Corporate clients · 6 to 3Feb 24, 2022 to Feb 27, 2023
- HNW clients · 155 to 150Feb 24, 2022 to Feb 27, 2023
Signals
1 dated events
- R•••••• Y•••• A••••••• reported RAUM $683.2M, up 29% from $531.2M (2021-04-05 to 2022-02-24)Feb 24, 2022 · RAUM change · derived
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
- 706-739-0725reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/richard-young-associates-ltd./aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- MONEYMD.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 706-739-0725reportedpublic record, Form ADV, Feb 12, 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
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026