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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• S•••••••• F•••••••• A•••••••
Legal name T•• S•••••••• F•••••••• A•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Jul 18, 2003
RAUM
$382M
reported, Item 5.F
Discretionary
7.1%
of RAUM
Private clients
98%
$376M individuals and HNW
Advisors
56
registered through the firm on IAPD
RAUM per advisor
$6.8M
derived; firm RAUM over IAPD count
Employees
56
41 advisory (5.B.1)
Offices
23
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$382M as of Mar 31, 2026
Mar 30, 2012$272M then
HNW client RAUM$154M as of Mar 31, 2026
Mar 30, 2018$356M then
State-registered IARs (5.B.3)55 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)56 as of Mar 31, 2026
Apr 1, 2013215 then
Private funds: no history
RAUM -19% over the last fiscal year-0.2% a year over threeIARs 63 to 55offices 33 to 23
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $6.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $373,810derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 7.1%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
- 2.3derived24 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $70.7MreportedItem 5.I
- Custody
- $106M, 141 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$222M58%
- High-net-worth individuals$154M40%
- Corporations and businesses$5.9M1.5%
- Individual clients
- 1,330reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,022reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $70.7M managedreported
- Custody of client assets
- $106M for 141 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=55.0derived
Advisors registered through the firm
52 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• M••••• H•••Certified Financial Planner | Larkspur, Ca | Oct 27, 2003 | 26 y | 1 |
| J••• T•••••• D•••Certified Financial Planner | Woodstock, Ga | Oct 31, 2003 | 32 y | 1 |
| S•••••• P•••••• O•••• | Alpharetta, Ga | Nov 3, 2003 | 40 y | 1 |
| P••••••• A••• K•••• | Fairfax, Va | Nov 18, 2003 | 37 y | 1 |
| R••••• W•••••• M•••••Chartered Financial Consultant | Atlanta, Ga | Jan 2, 2004 | 45 y | 2 |
| C••••••••• D•••• S•• J•••Certified Financial Planner, Chartered Financial Consultant | Myrtle Beach, Sc | Mar 25, 2004 | 25 y | 0 |
| D•••• P••• K••••••••• | Acworth, Ga | Aug 10, 2004 | 35 y | 0 |
| J•••••• D••• M•••••••••Certified Financial Planner | Peachtree Corners, Ga | Sep 27, 2005 | 21 y | 0 |
| J•• L••• P••••• | Wilm•••Ton, Nc | Jan 5, 2006 | 28 y | 1 |
| M•••••• A••• S•••••• | Larkspur, Ca | Dec 8, 2006 | 19 y | 0 |
| M••• A••• K•••Certified Financial Planner | Atlanta, Ga | Jan 5, 2007 | 27 y | 3 |
| A••••• M••••• C•••• | Peachtree Corners, Ga | Dec 5, 2007 | 20 y | 1 |
| T••••• I••• N••••••• | Larkspur, Ca | Feb 24, 2009 | 27 y | 1 |
| L•••• J•••• W••••• | Peachtree Corners, Ga | Mar 25, 2009 | 45 y | 1 |
| R•••••• L••••••••• | Honolulu, Hi | Apr 6, 2009 | 38 y | 0 |
| W•••••• B••••• B•••••Certified Financial Planner | Raleigh, Nc | Jul 19, 2010 | 24 y | 1 |
| G•••• N••••• K•••Certified Financial Planner | Alpharetta, Ga | May 24, 2011 | 41 y | 0 |
| L••• P••••• A••••••Certified Financial Planner | Fairfax, Va | Apr 20, 2012 | 26 y | 1 |
| M•••••• R••• S•••••• | Fairfax, Va | Apr 20, 2012 | 26 y | 1 |
| A••••• L••• A••• | Atlanta, Ga | Apr 20, 2012 | 18 y | 1 |
| K•••••• P••••• G•••••••• | Fairfax, Va | Apr 20, 2012 | 28 y | 1 |
| C•••••• L•• H••••••••Certified Financial Planner, Chartered Financial Consultant | Myrtle Beach, Sc | Oct 4, 2013 | 14 y | 2 |
| C••••• L•• K••••• | Foothill Ranch, Ca | Jan 3, 2014 | 27 y | 1 |
| K•••• J•••• M•••••Certified Financial Planner | Alpharetta, Ga | Mar 10, 2014 | 17 y | 2 |
| M••• H••••• | Atlanta, Ga | Apr 24, 2014 | 34 y | 5 |
| M•••••• R••••••• L•••••Certified Financial Planner, Personal Financial Specialist | Myrtle Beach, Sc | Jul 23, 2014 | 19 y | 3 |
| P••• A••••• P•••••• | Mount Pleasant, Mi | Jan 16, 2015 | 23 y | 2 |
| F••••••• T••••• R••••••• | Daytona Beach, Fl | Jan 16, 2015 | 41 y | 1 |
| A•• N••••• C••••• | G••••Sboro, Nc | May 4, 2016 | 29 y | 3 |
| S••••• W•••• C•••••••Certified Financial Planner | Dorado, Pr | May 13, 2016 | 29 y | 3 |
| A•• S•••• R•••• | Atlanta, Ga | Jul 20, 2016 | 39 y | 3 |
| V••••••• R•• H•••••• | Atlanta, Ga | Jan 11, 2017 | 15 y | 0 |
| K•••• B••••• | Novato, Ca | Apr 11, 2017 | 13 y | 1 |
| R•••••• W•••••• G•••••Certified Financial Planner, Chartered Financial Consultant | Lake Mary, Fl | Mar 7, 2018 | 30 y | 1 |
| P••• D•••• S•••••• | Daytona Beach, Fl | Apr 11, 2018 | 10 y | 0 |
| C•••• S••••• | Atlanta, Ga | Oct 24, 2019 | 43 y | 0 |
| D•••• S•••••• | Atlanta, Ga | Apr 14, 2022 | 20 y | 7 |
| D•••• W•••••• T••••• | Hinckley, Oh | Oct 26, 2022 | 28 y | 3 |
| B•••• B•••• J•••••• | Daytona Beach, Fl | Dec 12, 2022 | 15 y | 0 |
| M•••••• D•••• R•••••• | Gilbert, Az | Apr 4, 2023 | 22 y | 5 |
Advisor movement
5 left, 2 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.9% of current headcount13 left over 36 months
Left, latest
- M•••••• M••••• to G•••••• S•••• W••••• S•••••••• L•••May 29, 2026 · Affiliated broker-dealer or bank to another
- G•••••• A•••• W•••• to G••••••• W••••• M•••••••••Dec 31, 2025 · Affiliated broker-dealer or bank to another
- L•••••• R•••• M•• to G••••••• W••••• M•••••••••Dec 31, 2025 · Affiliated broker-dealer or bank to another
- B••••• C•••••• K••• to P••••• A•••••••• M••••• G••••• L••Nov 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••••• R•••••• L•••• to I•••••• A••••••• L••Sep 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• L•• P•••• to A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to another
- J•••••• M••••••••• S•••• to L•• F•••••••• L••Sep 5, 2024 · Affiliated broker-dealer or bank to another
- J•••• D• M•••••••• to S•••••••• B••••••••• L••Sep 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••• B•••• S•••• to S•••••••• B••••••••• L••May 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- N••••••• F•••• R••• to B••• W••••• S••••••••• L••May 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- D••••• G••••• M••••• to A•••• W••••• A•••••••• L••May 2, 2024 · Affiliated broker-dealer or bank to another
- M•••••• D•••• H•••••••• to A••••••• F••••••••• L•••Jan 30, 2024 · Affiliated broker-dealer or bank to another
- D•••• D•••• M••• to M••• A•••••••• I•••Dec 31, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• C•••••• W••••••• to S•••••••• B••••••••• L••Dec 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- A•• G•••• A••••••••• to C••••••• W••••• M••••••••• L••Aug 10, 2022 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- A••••• A••••• from L•• F•••••••• L••Apr 24, 2026 · Affiliated broker-dealer or bank to another
- J••••• S••••• H••••••••• from S•••••••• B••••••••• L••Oct 29, 2025 · RIA to affiliated broker-dealer or bank
- D•••••• R•••••• L•••• from L•••• F•••••••• M••••••••• L••Apr 23, 2025 · RIA to affiliated broker-dealer or bank
- D•••••••• K• J•••• from O•••• W•••••• I•••Apr 22, 2025 · Affiliated broker-dealer or bank to another
- N•••• M•••• C••••••• from A• G• E•••••• • S•••• I•••Jan 1, 2025 · Other
- K••••• S•• M••• L•• from P•••••••• S••••••••• I•••Jan 1, 2025 · Other
- M•• R••••• H•••• from I•• A••••••• S••••••• I••Jan 1, 2025 · Other
- M•••••• M••••• from M••••• S••••••Nov 26, 2024 · Wirehouse to affiliated broker-dealer or bank
- R•••••• P••• from O•••• W•••••• I•••Jan 8, 2024 · Affiliated broker-dealer or bank to another
- D••••• G••••• M••••• from I••••••••• F•••••••• G••••• L••Aug 4, 2023 · Affiliated broker-dealer or bank to another
- M•••••• D•••• R•••••• from T•••• A•••••••• L••Apr 4, 2023 · Affiliated broker-dealer or bank to another
- D•••• W•••••• T••••• from A••••••• P••••••••• A•••••••• I••Oct 26, 2022 · Affiliated broker-dealer or bank to another
- N••••••• F•••• R••• from B••••• A•••••••Aug 29, 2022 · RIA to affiliated broker-dealer or bank
- D•••• S•••••• from S•••••••• F••••••••• I•••Apr 14, 2022 · Affiliated broker-dealer or bank to another
- D•••••••• D•••• from T•••• A•••••••• L••Mar 3, 2021 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for G••••••• W••••• M•••••••••Dec 31, 2025 · Clemson, Sc
- 3 left for G•••••• W••••• P•••••••• L••Jul 15, 2021 · Griffin, Ga
- 3 left for A••••••••• F•••••••• S•••••••• L••Oct 29, 2019 · Gainesville, Ga
- 7 left for H•••••• I••••••••• I•••Apr 13, 2016 · G••••Field, Wi
- 3 joined from V•• A••••••• S•••••••Jul 19, 2016 · Atlanta, Ga
- 2 joined from F•••• A••••• A••••••• S•••••••• I•••May 11, 2016 · G••••Sboro, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• A••••• B•••••• · Svpcontrolsince 05/2003 · owns less than 5%
- S•••••• C•••• · Directorcontrolsince 02/2003 · owns less than 5%
- S•••••••• J•••• A•• · President, Directorcontrolsince 07/2022 · owns less than 5%
- T••••• A••• E•••• · Cfocontrolsince 05/2024 · owns less than 5%
- W•••• E••••• B•••••• · Vice President, Ccocontrolsince 12/2018 · owns less than 5%
- C•••••••• J••••• K••••••••• · Vice President, Information Systems & Technologysince 01/2018 · owns less than 5%
- S••••• A•••••••• J•••• · Vice President, Supervisionsince 01/2018 · owns less than 5%
Entity owners
- S•• H•••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••• A•••••••investment advisern
- C••••••• W••••• A•••••••investment advisernRAUM $313M
- G•••• C•••• R••••••••• L••pooled vehicle sponsory
- S•• I•••••••• S•••••••• I•••real estaten
- S•••••••• B••••••••• L••investment advisernRAUM $2.5B
- T•••••• C••••••• L••broker-dealern
Advisers that list T•• S•••••••• F•••••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 26 | 2 | 3 | ||
| Larkspur, Ca | 7 | 0 | 0 | ||
| Alpharetta, Ga | 5 | 0 | 0 | ||
| Fairfax, Va | 5 | 0 | 0 | ||
| Peachtree Corners, Ga | 5 | 0 | 0 | ||
| Myrtle Beach, Sc | 4 | 0 | 0 | ||
| Raleigh, Nc | 3 | 0 | 1 | ||
| Colorado Springs, Co | 3 | 0 | 0 | ||
| Daytona Beach, Fl | 3 | 0 | 0 | ||
| Honolulu, Hi | 2 | 0 | 0 | ||
| Woodstock, Ga | 2 | 0 | 0 | ||
| G••••Sboro, Nc | 2 | 0 | 0 | ||
| Clemson, Sc | 0 | 0 | 2 | 1 | |
| Kennesaw, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Peachtree Corners, GA7 employees
- Peachtree Corners, GA4 employees
- Alpharetta, GA4 employees
- G••••Sboro, NC4 employees
- Fairfax, VA4 employees
- Myrtle Beach, SC3 employees
- Woodstock, GA3 employees
- Colorado Springs, CO2 employees
- Honolulu, HI2 employees
- Daytona Beach, FL2 employees
- , 1 employees
- , 1 employees
- Lake Mary, FL1 employees
- G••••Brae, CA1 employees
- , 1 employees
- , 1 employees
- Foothill Ranch, CA1 employees
- Temple, TX1 employees
- Fredericksburg, VA1 employees
- San Francisco, CA1 employees
- Clemson, SC1 employees
- Honolulu, HI1 employees
- , 1 employees
- Mt. Pleasant, MI1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,394 to 1,022Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 46 to 41Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 63 to 55Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 10 to 6Mar 31, 2025 to Mar 31, 2026
- HNW clients · 228 to 127Mar 31, 2025 to Mar 31, 2026
- Individual clients · 1,156 to 1,330Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $5.3M to $106MMar 31, 2025 to Mar 31, 2026
- Employees · 63 to 56Mar 31, 2025 to Mar 31, 2026
- Insurance-licensed employees · 23 to 18Mar 31, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 51-100Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 63 to 55Mar 31, 2025 to Mar 31, 2026
- Other offices · 33 to 23Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $28.5M to $27.0MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $230M to $154MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $238M to $222MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $442M to $355MMar 31, 2025 to Mar 31, 2026
- RAUM · $471M to $382MMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $70.2M to $70.7MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,360 to 1,394May 21, 2024 to Mar 31, 2025
- Advisory employees · 56 to 46May 21, 2024 to Mar 31, 2025
- BD registered reps · 74 to 63May 21, 2024 to Mar 31, 2025
- Corporate clients · 13 to 10May 21, 2024 to Mar 31, 2025
- HNW clients · 194 to 228May 21, 2024 to Mar 31, 2025
- Individual clients · 1,153 to 1,156May 21, 2024 to Mar 31, 2025
- Assets in custody · $18.9M to $5.3MMay 21, 2024 to Mar 31, 2025
- Employees · 74 to 63May 21, 2024 to Mar 31, 2025
- Insurance-licensed employees · 28 to 23May 21, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 101-250May 21, 2024 to Mar 31, 2025
- State-registered IARs · 74 to 63May 21, 2024 to Mar 31, 2025
- Other offices · 38 to 33May 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $48.5M to $28.5MMay 21, 2024 to Mar 31, 2025
- HNW RAUM · $154M to $230MMay 21, 2024 to Mar 31, 2025
- Individual RAUM · $177M to $238MMay 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $285M to $442MMay 21, 2024 to Mar 31, 2025
- RAUM · $334M to $471MMay 21, 2024 to Mar 31, 2025
- Wrap assets (manager) · $77.7M to $70.2MMay 21, 2024 to Mar 31, 2025
- Accounts · 2,163 to 1,360Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 59 to 56Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 72 to 74Mar 31, 2023 to Mar 28, 2024
- Charity clients · 1 to 0Mar 31, 2023 to Mar 28, 2024
Signals
33 dated events
- S••••• H• B••••• no longer registered at T•• S•••••••• F•••••••• A•••••••; no later IA registration on IAPDSep 17, 2026 · Advisor departure · fact
- M•••••• M••••• left T•• S•••••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2026-06-12)May 29, 2026 · Advisor changed firm · fact
- T•• S•••••••• F•••••••• A••••••• reported 23 offices beyond its principal office, down from 33 (2025-03-31 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- L•••••• R•••• M•• left T•• S•••••••• F•••••••• A••••••• for G••••••• W••••• M••••••••• (registered 2025-12-16)Dec 31, 2025 · Advisor changed firm · fact
- G•••••• A•••• W•••• left T•• S•••••••• F•••••••• A••••••• for G••••••• W••••• M••••••••• (registered 2025-12-16)Dec 31, 2025 · Advisor changed firm · fact
- 2 advisors left T•• S•••••••• F•••••••• A••••••• (Clemson, SC) for G••••••• W••••• M••••••••• on the same dayDec 31, 2025 · Team lift-out · derived
- B••••• C•••••• K••• left T•• S•••••••• F•••••••• A••••••• for P••••• A•••••••• M••••• G••••• L•• (registered 2025-12-23)Nov 17, 2025 · Advisor changed firm · fact
- D•••••• R•••••• L•••• left T•• S•••••••• F•••••••• A••••••• for I•••••• A••••••• L•• (registered 2025-09-19)Sep 22, 2025 · Advisor changed firm · fact
- J••• L•• P•••• left T•• S•••••••• F•••••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-05-05)May 2, 2025 · Advisor changed firm · fact
- T•• S•••••••• F•••••••• A••••••• reported 33 offices beyond its principal office, down from 38 (2024-05-21 to 2025-03-31)Mar 31, 2025 · Office count change · derived
- T•• S•••••••• F•••••••• A••••••• reported RAUM $470.9M, up 41% from $334.0M (2024-05-21 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- J•••••• M••••••••• S•••• left T•• S•••••••• F•••••••• A••••••• for L•• F•••••••• L•• (registered 2024-09-05)Sep 5, 2024 · Advisor changed firm · fact
- J•••• D• M•••••••• left T•• S•••••••• F•••••••• A••••••• for S•••••••• B••••••••• L•• (registered 2021-01-22)Sep 5, 2024 · Advisor changed firm · fact
- J••••• James Martin (Fin Op) no longer on Schedule A of T•• S•••••••• F•••••••• A••••••• (listed 2024-03-28, absent 2024-05-21)May 21, 2024 · Control person left · inference
- Anna Elise Tatum (Cfo) appeared on Schedule A of T•• S•••••••• F•••••••• A•••••••May 21, 2024 · Control person joined · fact
- N••••••• F•••• R••• left T•• S•••••••• F•••••••• A••••••• for B••• W••••• S••••••••• L•• (registered 2026-05-06)May 7, 2024 · Advisor changed firm · fact
- S••• B•••• S•••• left T•• S•••••••• F•••••••• A••••••• for S•••••••• B••••••••• L•• (registered 2023-07-17)May 7, 2024 · Advisor changed firm · fact
- D••••• G••••• M••••• left T•• S•••••••• F•••••••• A••••••• for A•••• W••••• A•••••••• L•• (registered 2024-05-30)May 2, 2024 · Advisor changed firm · fact
- J••••• James Martin (Fin Op) appeared on Schedule A of T•• S•••••••• F•••••••• A•••••••Mar 28, 2024 · Control person joined · fact
- Laree L Holloway (Finop, Vice President) no longer on Schedule A of T•• S•••••••• F•••••••• A••••••• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Jean M Merriman (Vice President, Due Diligence & Product Management) no longer on Schedule A of T•• S•••••••• F•••••••• A••••••• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- M•••••• D•••• H•••••••• left T•• S•••••••• F•••••••• A••••••• for A••••••• F••••••••• L••• (registered 2024-06-17)Jan 30, 2024 · Advisor changed firm · fact
- D•••• D•••• M••• left T•• S•••••••• F•••••••• A••••••• for M••• A•••••••• I••• (registered 2023-10-02)Dec 31, 2023 · Advisor changed firm · fact
- T•• S•••••••• F•••••••• A••••••• reported RAUM $384.4M, down 27% from $525.5M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- D•••• C•••••• W••••••• left T•• S•••••••• F•••••••• A••••••• for S•••••••• B••••••••• L•• (registered 2023-06-14)Dec 22, 2022 · Advisor changed firm · fact
- A•• G•••• A••••••••• left T•• S•••••••• F•••••••• A••••••• for C••••••• W••••• M••••••••• L•• (registered 2018-06-14)Aug 10, 2022 · Advisor changed firm · fact
- T•• S•••••••• F•••••••• A••••••• reported 36 offices beyond its principal office, down from 41 (2021-03-31 to 2022-03-31)Mar 31, 2022 · Office count change · derived
- T•• S•••••••• F•••••••• A••••••• reported 75 state-registered advisory representatives, down from 95 (2021-03-31 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
- J••• R••••••• E•••••• left T•• S•••••••• F•••••••• A••••••• for M•• I•••••••• S•••••••• L•• (registered 2022-04-01)Feb 7, 2022 · Advisor changed firm · fact
- T•• S•••••••• F•••••••• A••••••• reported 42 offices beyond its principal office, down from 53 (2019-03-29 to 2020-03-30)Mar 30, 2020 · Office count change · derived
Across DFX
shared identifiers only, never a name match
- T•• S•••••••• F•••••••• A••••••• · Private Equityshared crd · intermediary
- T•• S•••••••• F•••••••• A•••••••• I••• · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sfa-partners-2003/postsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- thesfa.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 678-954-4000reportedpublic record, Form ADV, Mar 31, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026