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.

Former SEC-registered adviser

Wealthguard Advisory Group, LLC

Former SEC-registered adviserAlpharetta, GeorgiaCRD 127125SEC 801-110398IAPD
Latest filing May 29, 2018
First filing on the tape Apr 5, 2017 · 5 filings
RAUM
$125M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
81%
$102M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$125M as of May 29, 2018
Apr 5, 2017$112M then
HNW client RAUM$76.3M as of May 29, 2018
Mar 2, 2018$76.3M then
State-registered IARs (5.B.3)2 as of May 29, 2018
Apr 5, 20172 then
Employees (5.A)2 as of May 29, 2018
Apr 5, 20172 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 29, 2018; every figure names its basis
RAUM per advisor
$62.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$591,759derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$76.3M61%
  • Individuals$25.4M20%
  • Corporations and businesses$23.0M18%
  • Charitable organizations$734,0000.6%
Individual clients
52reported
HNW clients
27reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
212reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    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
      • Lile John Williams · Ccocontrol
        since 02/1999 · owns less than 5%
      Entity owners
      • John L. Williams III, P.C. · Owner
        direct · owns 75% or more
      • Williams Horning & Company, LLC · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • John L. Williams
        real estaten
      • Williams, Horning & Company, LLC
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 0.0
        Apr 14, 2017 to Mar 2, 2018
      • Discretionary RAUM · $107M to $120M
        Apr 14, 2017 to Mar 2, 2018
      • HNW RAUM · unset to 76300000.0
        Apr 14, 2017 to Mar 2, 2018
      • Individual RAUM · unset to 25400000.0
        Apr 14, 2017 to Mar 2, 2018
      • Non-discretionary RAUM · $5.1M to $5.2M
        Apr 14, 2017 to Mar 2, 2018
      • RAUM · $112M to $125M
        Apr 14, 2017 to Mar 2, 2018
      • Accounts · 217 to 212
        Apr 14, 2017 to Mar 2, 2018
      • Charity clients · unset to 1.0
        Apr 14, 2017 to Mar 2, 2018
      • Corporate clients · unset to 6.0
        Apr 14, 2017 to Mar 2, 2018
      • HNW clients · unset to 27.0
        Apr 14, 2017 to Mar 2, 2018
      • Individual clients · unset to 52.0
        Apr 14, 2017 to Mar 2, 2018
      Signals
      1 dated events
      • Wealthguard Advisory Group, Llc filed its initial SEC registration (Form ADV)
        Apr 5, 2017 · 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