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

Cambridge Wealth Counsel

Former SEC-registered adviserAtlanta, GeorgiaCRD 127349SEC 801-78948IAPD
Legal name Southern Wealth Management, Inc
Latest filing Sep 1, 2016
First filing on the tape Dec 9, 2013 · 8 filings
RAUM
$238M
reported, Item 5.F
Discretionary
86%
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$238M as of Feb 16, 2016
Mar 31, 2014$206M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 16, 2016
Mar 31, 20143 then
Employees (5.A)5 as of Feb 16, 2016
Mar 31, 20143 then
Private funds: no history
RAUM -2.4% over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Sep 1, 2016; every figure names its basis
RAUM per advisor
$79.5MderivedRAUM 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
$240,161derivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-2.4%derivedbetween 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, pension consulting, 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
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
993reported
Financial planning clients
101-250reported
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
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
    • Spencer Robert Hockett · Presidentcontrol
      since 06/1999 · owns 75% or more
    • Howard Barry Kaplan · Shareholdercontrol
      since 03/2016 · owns 25% to 50%
    • Von Neil Mahoney · Chief Compliance Officer/Chief Operating Officercontrol
      since 08/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • South Jordan, UT
    • Stockbridge, GA
    What changed
    consecutive filings, newest first
    • Accounts · 1,055 to 993
      Apr 30, 2015 to Feb 16, 2016
    • Employees · 3 to 5
      Apr 30, 2015 to Feb 16, 2016
    • Insurance-licensed employees · 0 to 1
      Apr 30, 2015 to Feb 16, 2016
    • State-registered IARs · 0 to 3
      Apr 30, 2015 to Feb 16, 2016
    • Discretionary RAUM · $244M to $204M
      Apr 30, 2015 to Feb 16, 2016
    • Non-discretionary RAUM · $0 to $34.5M
      Apr 30, 2015 to Feb 16, 2016
    • RAUM · $244M to $238M
      Apr 30, 2015 to Feb 16, 2016
    • Accounts · 157 to 1,055
      Sep 22, 2014 to Mar 31, 2015
    • State-registered IARs · 3 to 0
      Sep 22, 2014 to Mar 31, 2015
    • Discretionary RAUM · $0 to $244M
      Sep 22, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $233M to $0
      Sep 22, 2014 to Mar 31, 2015
    • RAUM · $233M to $244M
      Sep 22, 2014 to Mar 31, 2015
    • Accounts · 147 to 157
      Mar 31, 2014 to Sep 22, 2014
    • HQ city · STOCKBRIDGE to ATLANTA
      Mar 31, 2014 to Sep 22, 2014
    • Non-discretionary RAUM · $206M to $233M
      Mar 31, 2014 to Sep 22, 2014
    • RAUM · $206M to $233M
      Mar 31, 2014 to Sep 22, 2014
    • Accounts · 146 to 147
      Dec 9, 2013 to Mar 31, 2014
    • Advisory employees · 4 to 3
      Dec 9, 2013 to Mar 31, 2014
    • Employees · 4 to 3
      Dec 9, 2013 to Mar 31, 2014
    • State-registered IARs · 4 to 3
      Dec 9, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $186M to $206M
      Dec 9, 2013 to Mar 31, 2014
    • RAUM · $186M to $206M
      Dec 9, 2013 to Mar 31, 2014
    Signals
    1 dated events
    • Cambridge Wealth Counsel filed its initial SEC registration (Form ADV)
      Dec 9, 2013 · 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