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

A•••••• F•••••••• A••••••••• L••

Former SEC-registered adviserA••••••, GeorgiaCRD 126703SEC 801-114127IAPD
Latest filing Mar 25, 2021
First filing on the tape Sep 13, 2018 · 11 filings
RAUM
$784M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$773M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$784M as of Mar 25, 2021
Feb 9, 2019$551M then
HNW client RAUM$638M as of Mar 25, 2021
Feb 9, 2019$380M then
State-registered IARs (5.B.3)9 as of Mar 25, 2021
Feb 9, 20196 then
Employees (5.A)20 as of Mar 25, 2021
Feb 9, 201915 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 9 to 9
Practice profile
derived from the filing of Mar 25, 2021; every figure names its basis
RAUM per advisor
$87.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
73derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$386,771derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.3%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$6.2M, 18 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$638M81%
  • Individuals$135M17%
  • Pension and profit-sharing plans$10.4M1.3%
Individual clients
395reported
HNW clients
260reported
Pension plan clients
12reported
Charitable clients
n/areported
Accounts
2,026reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$6.2M for 18 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
Left, latest
Joined, latest
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•••••••• F•••••••• · Assistant Secretarycontrol
    since 01/2019 · owns less than 5%
  • C•••••• J••••• M•••••• · Chief Compliance Officercontrol
    since 10/2020 · owns less than 5%
  • H••••••••• R••••••• D••• · Co-President, Secretarycontrol
    since 01/2019 · owns less than 5%
  • M•••••• C••••••••• C•••••• · Co-President, Assistant Secretarycontrol
    since 01/2019 · owns less than 5%
  • A••••••• J•••••••• F•••••••• · Principalcontrol
    since 01/2019 · owns 75% or more of A•••••• A••••••• S•••••••• L••
  • B•••••••• C••••••••• B•••••• · Principalcontrol
    since 10/2019 · owns 75% or more of B•••••• B••••••• L••
  • H••••••••• R••••••• D••• · Principalcontrol
    since 01/2019 · owns 75% or more of H•••••••• A••••••• S•••••••• L••
  • M•••••• C••••••••• C•••••• · Principalcontrol
    since 01/2019 · owns 75% or more of P••••••••• F•••••••• A•••••••• L••
Entity owners
  • A•••••• A••••••• S•••••••• L•• · Member
    direct · owns less than 5%
  • B•••••• B••••••• L•• · Member
    direct · owns less than 5%
  • H•••••••• A••••••• S•••••••• L•• · Member
    direct · owns less than 5%
  • M••••• G••••• A••••••• I••• · Parent Company
    direct · owns 75% or more
  • P••••••••• F•••••••• A•••••••• L•• · Member
    direct · owns less than 5%
Related persons
Schedule D 7.A
  • B•••••• B••••••• L••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,907 to 2,026
    Jan 15, 2021 to Mar 25, 2021
  • HNW clients · 223 to 260
    Jan 15, 2021 to Mar 25, 2021
  • Individual clients · 405 to 395
    Jan 15, 2021 to Mar 25, 2021
  • Pension plan clients · unset to 12.0
    Jan 15, 2021 to Mar 25, 2021
  • Financial planning clients · 101-250 to 51-100
    Jan 15, 2021 to Mar 25, 2021
  • Discretionary RAUM · $634M to $784M
    Jan 15, 2021 to Mar 25, 2021
  • HNW RAUM · $518M to $638M
    Jan 15, 2021 to Mar 25, 2021
  • Individual RAUM · $151M to $135M
    Jan 15, 2021 to Mar 25, 2021
  • Non-discretionary RAUM · $34.0M to $0
    Jan 15, 2021 to Mar 25, 2021
  • Pension RAUM · unset to 10366721.0
    Jan 15, 2021 to Mar 25, 2021
  • RAUM · $668M to $784M
    Jan 15, 2021 to Mar 25, 2021
  • Accounts · 1,775 to 1,907
    Jun 13, 2019 to Mar 11, 2020
  • Advisory employees · 6 to 9
    Jun 13, 2019 to Mar 11, 2020
  • Advisory activities · 4 to 3
    Jun 13, 2019 to Mar 11, 2020
  • BD registered reps · 4 to 3
    Jun 13, 2019 to Mar 11, 2020
  • HNW clients · 195 to 223
    Jun 13, 2019 to Mar 11, 2020
  • Individual clients · 393 to 405
    Jun 13, 2019 to Mar 11, 2020
  • Pension plan clients · 21.0 to unset
    Jun 13, 2019 to Mar 11, 2020
  • Assets in custody · unset to 6176754.0
    Jun 13, 2019 to Mar 11, 2020
  • Custody of client assets · false to true
    Jun 13, 2019 to Mar 11, 2020
  • Employees · 15 to 20
    Jun 13, 2019 to Mar 11, 2020
  • State-registered IARs · 6 to 9
    Jun 13, 2019 to Mar 11, 2020
  • Discretionary RAUM · $513M to $634M
    Jun 13, 2019 to Mar 11, 2020
  • HNW RAUM · $380M to $518M
    Jun 13, 2019 to Mar 11, 2020
  • Individual RAUM · $133M to $151M
    Jun 13, 2019 to Mar 11, 2020
  • Non-discretionary RAUM · $38.5M to $34.0M
    Jun 13, 2019 to Mar 11, 2020
  • Pension RAUM · 38500000.0 to unset
    Jun 13, 2019 to Mar 11, 2020
  • RAUM · $551M to $668M
    Jun 13, 2019 to Mar 11, 2020
  • Wrap assets (manager) · 0.0 to unset
    Jun 13, 2019 to Mar 11, 2020
  • Wrap assets (sponsor) · 0.0 to unset
    Jun 13, 2019 to Mar 11, 2020
  • Business name · A•••••• F•••••••• A••••••••• I••• to A•••••• F•••••••• A••••••••• L••
    Feb 9, 2019 to Jun 13, 2019
  • Legal name · A•••••• F•••••••• A••••••••• I••• to A•••••• F•••••••• A••••••••• L••
    Feb 9, 2019 to Jun 13, 2019
  • Succession · true to false
    Feb 9, 2019 to Jun 13, 2019
  • Accounts · 1,176 to 1,775
    Jan 7, 2019 to Feb 9, 2019
  • Advisory employees · 5 to 6
    Jan 7, 2019 to Feb 9, 2019
  • Advisory activities · 3 to 4
    Jan 7, 2019 to Feb 9, 2019
  • HNW clients · 71 to 195
    Jan 7, 2019 to Feb 9, 2019
  • Individual clients · 665 to 393
    Jan 7, 2019 to Feb 9, 2019
  • Pension plan clients · unset to 21.0
    Jan 7, 2019 to Feb 9, 2019
  • Employees · 12 to 15
    Jan 7, 2019 to Feb 9, 2019
Signals
5 dated events
  • Michael James Cullen (Chief Compliance Officer) appeared on Schedule A of A•••••• F•••••••• A••••••••• L••
    Nov 10, 2020 · Control person joined · fact
  • Biggers Christopher Blackmon (Principal) appeared on Schedule A of A•••••• F•••••••• A••••••••• L••
    Nov 10, 2020 · Control person joined · fact
  • A•••••• F•••••••• A••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Feb 9, 2019 · Succession (Item 4) · fact
  • A•••••• F•••••••• A••••••••• L•• reported RAUM $551.0M, up 102% from $273.2M (2019-01-07 to 2019-02-09)
    Feb 9, 2019 · RAUM change · derived
  • A•••••• F•••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)
    Sep 13, 2018 · 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.
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