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
S••••••••• D•••• A••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 29, 2021 · 9 filings
SEC status approved since Apr 29, 2021
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$120M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$40.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$121M as of Mar 23, 2026
Mar 30, 2022$121M then
HNW client RAUM$106M as of Mar 23, 2026
Mar 30, 2022$109M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 30, 20223 then
Employees (5.A)3 as of Mar 23, 2026
Mar 30, 20223 then
Private funds: no history
RAUM +2.6% over the last fiscal year+9.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $40.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $597,420derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $28.3M, 26 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$106M87%
- Individuals$14.1M12%
- Pension and profit-sharing plans$905,1350.7%
- Charitable organizations$752,9590.6%
- Individual clients
- 49reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 203reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.3M for 26 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••• C••• S••••••••• | Marietta, Ga | May 12, 2003 | 33 y | 0 |
| W•••• A••••• D•••• | Marietta, Ga | Jul 15, 2016 | 21 y | 3 |
| M•••••• F••••••••• S••••••••• | Marietta, Ga | Aug 9, 2017 | 16 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
- W•••• A••••• D•••• from C•••••• B••• A•• T•••• C••••••Jul 15, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• W••••• A••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- S••••••••• K•••••• C••• · Membercontrolsince 01/1998 · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• • C••••••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Marietta, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 23, 2026 to Sep 17, 2026
- Succession · false to unsetMar 23, 2026 to Sep 17, 2026
- Accounts · 184 to 203Mar 17, 2025 to Mar 23, 2026
- HNW clients · 43 to 44Mar 17, 2025 to Mar 23, 2026
- Individual clients · 37 to 49Mar 17, 2025 to Mar 23, 2026
- Assets in custody · $71.3M to $28.3MMar 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $118M to $121MMar 17, 2025 to Mar 23, 2026
- HNW RAUM · $105M to $106MMar 17, 2025 to Mar 23, 2026
- Individual RAUM · $11.8M to $14.1MMar 17, 2025 to Mar 23, 2026
- Pension RAUM · $1 to $905,135Mar 17, 2025 to Mar 23, 2026
- RAUM · $118M to $121MMar 17, 2025 to Mar 23, 2026
- Accounts · 186 to 184Mar 27, 2024 to Mar 17, 2025
- HNW clients · 96 to 43Mar 27, 2024 to Mar 17, 2025
- Individual clients · 36 to 37Mar 27, 2024 to Mar 17, 2025
- Assets in custody · $33.8M to $71.3MMar 27, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 17, 2025
- Discretionary RAUM · $112M to $118MMar 27, 2024 to Mar 17, 2025
- HNW RAUM · $98.9M to $105MMar 27, 2024 to Mar 17, 2025
- Individual RAUM · $11.5M to $11.8MMar 27, 2024 to Mar 17, 2025
- Pension RAUM · $482,920 to $1Mar 27, 2024 to Mar 17, 2025
- RAUM · $112M to $118MMar 27, 2024 to Mar 17, 2025
- Accounts · 162 to 186Mar 27, 2023 to Mar 27, 2024
- HNW clients · 39 to 96Mar 27, 2023 to Mar 27, 2024
- Individual clients · 32 to 36Mar 27, 2023 to Mar 27, 2024
- Assets in custody · $15.4M to $33.8MMar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $92.9M to $112MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $83.1M to $98.9MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $8.1M to $11.5MMar 27, 2023 to Mar 27, 2024
- Pension RAUM · $418,732 to $482,920Mar 27, 2023 to Mar 27, 2024
- RAUM · $92.9M to $112MMar 27, 2023 to Mar 27, 2024
- Accounts · 186 to 162Mar 30, 2022 to Mar 27, 2023
- HNW clients · 33 to 39Mar 30, 2022 to Mar 27, 2023
- Individual clients · 36 to 32Mar 30, 2022 to Mar 27, 2023
- Assets in custody · $3.5M to $15.4MMar 30, 2022 to Mar 27, 2023
- Discretionary RAUM · $121M to $92.9MMar 30, 2022 to Mar 27, 2023
- HNW RAUM · $109M to $83.1MMar 30, 2022 to Mar 27, 2023
- Individual RAUM · $10.2M to $8.1MMar 30, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $550,467 to $0Mar 30, 2022 to Mar 27, 2023
- Pension RAUM · $944,135 to $418,732Mar 30, 2022 to Mar 27, 2023
- RAUM · $121M to $92.9MMar 30, 2022 to Mar 27, 2023
Signals
1 dated events
- S••••••••• D•••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2021 · 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
- Principal office phone
- 770-977-6892reportedpublic record, Form ADV, Sep 17, 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
- $40.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026