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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Former SEC-registered adviser

P••••• A•••••••• • M••••• L••

Former SEC-registered adviserMacon, GeorgiaCRD 126145SEC 801-61959IAPD
Latest filing Jun 2, 2015
First filing on the tape Mar 23, 2012 · 23 filings
RAUM
$526M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$526M as of Mar 9, 2015
Mar 23, 2012$420M then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 9, 2015
Mar 23, 20120 then
Employees (5.A)16 as of Mar 9, 2015
Feb 28, 201316 then
Private funds: no history
RAUM +1.8% over the last fiscal year+7.8% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jun 2, 2015; every figure names its basis
RAUM per advisor
$58.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$622,094derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
3.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$5,000, 1 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)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
845reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$5,000 for 1 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••••• J•••• M••• · Principal, Director Of Client Servicescontrol
      since 03/2003 · owns 25% to 50%
    • M•••••• W••••••• P•••• · Principal, Chief Investment Officercontrol
      since 03/2003 · owns 25% to 50%
    • P•••••• J••••• B• · Managing Principal And Ceocontrol
      since 03/2003 · owns 25% to 50%
    • B•••••• L•••• M• · Chief Compliance Officer
      since 09/2012 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Atlanta, GA
    • Chattanooga, TN
    What changed
    consecutive filings, newest first
    • Accounts · 846 to 845
      Feb 6, 2015 to Mar 9, 2015
    • Employees · 15 to 16
      Feb 6, 2015 to Mar 9, 2015
    • Discretionary RAUM · $509M to $517M
      Feb 6, 2015 to Mar 9, 2015
    • Non-discretionary RAUM · $7.4M to $8.9M
      Feb 6, 2015 to Mar 9, 2015
    • RAUM · $516M to $526M
      Feb 6, 2015 to Mar 9, 2015
    • Assets in custody · unset to 5000.0
      Oct 24, 2014 to Feb 6, 2015
    • Custody of client assets · false to true
      Oct 24, 2014 to Feb 6, 2015
    • HQ city · CHATTANOOGA to MACON
      Mar 14, 2014 to Mar 17, 2014
    • HQ state · TN to GA
      Mar 14, 2014 to Mar 17, 2014
    • Accounts · 864 to 846
      Oct 15, 2013 to Mar 14, 2014
    • Advisory employees · 11 to 9
      Oct 15, 2013 to Mar 14, 2014
    • Employees · 16 to 15
      Oct 15, 2013 to Mar 14, 2014
    • HQ city · MACON to CHATTANOOGA
      Oct 15, 2013 to Mar 14, 2014
    • HQ state · GA to TN
      Oct 15, 2013 to Mar 14, 2014
    • State-registered IARs · 11 to 9
      Oct 15, 2013 to Mar 14, 2014
    • Discretionary RAUM · $486M to $509M
      Oct 15, 2013 to Mar 14, 2014
    • Non-discretionary RAUM · $8.8M to $7.4M
      Oct 15, 2013 to Mar 14, 2014
    • RAUM · $495M to $516M
      Oct 15, 2013 to Mar 14, 2014
    • Advisory activities · 2 to 3
      Jun 4, 2013 to Jun 18, 2013
    • Accounts · 837 to 864
      Nov 13, 2012 to Feb 28, 2013
    • Advisory employees · 12 to 11
      Nov 13, 2012 to Feb 28, 2013
    • State-registered IARs · 12 to 11
      Nov 13, 2012 to Feb 28, 2013
    • Discretionary RAUM · $465M to $486M
      Nov 13, 2012 to Feb 28, 2013
    • Non-discretionary RAUM · $7.9M to $8.8M
      Nov 13, 2012 to Feb 28, 2013
    • RAUM · $473M to $495M
      Nov 13, 2012 to Feb 28, 2013
    • Advisory employees · unset to 12.0
      Oct 3, 2012 to Nov 13, 2012
    • Employees · unset to 16.0
      Oct 3, 2012 to Nov 13, 2012
    • State-registered IARs · 0 to 12
      Oct 3, 2012 to Nov 13, 2012
    • Discretionary RAUM · $407M to $465M
      Mar 23, 2012 to Sep 14, 2012
    • Non-discretionary RAUM · $13.2M to $7.9M
      Mar 23, 2012 to Sep 14, 2012
    • RAUM · $420M to $473M
      Mar 23, 2012 to Sep 14, 2012
    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