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
I••• C•••••• A••••••• I•••
Latest filing Feb 15, 2024
First filing on the tape Dec 19, 2011 · 26 filings
RAUM
$5.2B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
1.7%
$91.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$5.2B as of Feb 15, 2024
Mar 30, 2012$2.3B then
HNW client RAUM$52.7M as of Feb 15, 2024
Feb 14, 2018$31.0M then
State-registered IARs (5.B.3)2 as of Feb 15, 2024
Mar 30, 20120 then
Employees (5.A)6 as of Feb 15, 2024
Mar 20, 20135 then
Private funds1 as of Mar 20, 2014
Mar 30, 20121 then
RAUM +24% over the last fiscal year+1.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 15, 2024; every figure names its basis
- RAUM per advisor
- $2.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $30.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- Pension and profit-sharing plans$5.1B98%
- High-net-worth individuals$52.7M1.0%
- Individuals$38.7M0.7%
- Individual clients
- 123reported
- HNW clients
- 41reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 172reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- C•••••• E••• O•••••• to A••••••••• I••••••••• A•••••••Jun 14, 2024 · Other
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• F•••• L•••no longer reported | Hedge Fund | $671,883 | 2 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- O••••••• C••••••• E••• · Managing Director And Chief Compliance Officercontrolsince 11/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 174 to 172Mar 11, 2023 to Feb 15, 2024
- HNW clients · 29 to 41Mar 11, 2023 to Feb 15, 2024
- Individual clients · 138 to 123Mar 11, 2023 to Feb 15, 2024
- Discretionary RAUM · $1.1B to $5.1BMar 11, 2023 to Feb 15, 2024
- HNW RAUM · $61.3M to $52.7MMar 11, 2023 to Feb 15, 2024
- Individual RAUM · $23.7M to $38.7MMar 11, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $3.1B to $94.0MMar 11, 2023 to Feb 15, 2024
- Pension RAUM · $4.1B to $5.1BMar 11, 2023 to Feb 15, 2024
- RAUM · $4.2B to $5.2BMar 11, 2023 to Feb 15, 2024
- Accounts · 175 to 174Feb 14, 2022 to Mar 11, 2023
- Individual clients · 133 to 138Feb 14, 2022 to Mar 11, 2023
- Pension plan clients · 9 to 7Feb 14, 2022 to Mar 11, 2023
- Financial planning clients · 11-25 to 1-10Feb 14, 2022 to Mar 11, 2023
- Discretionary RAUM · $1.3B to $1.1BFeb 14, 2022 to Mar 11, 2023
- HNW RAUM · $69.4M to $61.3MFeb 14, 2022 to Mar 11, 2023
- Individual RAUM · $35.5M to $23.7MFeb 14, 2022 to Mar 11, 2023
- Non-discretionary RAUM · $4.1B to $3.1BFeb 14, 2022 to Mar 11, 2023
- Pension RAUM · $5.3B to $4.1BFeb 14, 2022 to Mar 11, 2023
- RAUM · $5.5B to $4.2BFeb 14, 2022 to Mar 11, 2023
- Accounts · 191 to 175Mar 1, 2021 to Feb 14, 2022
- HNW clients · 18 to 29Mar 1, 2021 to Feb 14, 2022
- Individual clients · 164 to 133Mar 1, 2021 to Feb 14, 2022
- Discretionary RAUM · $1.4B to $1.3BMar 1, 2021 to Feb 14, 2022
- HNW RAUM · $47.5M to $69.4MMar 1, 2021 to Feb 14, 2022
- Individual RAUM · $51.4M to $35.5MMar 1, 2021 to Feb 14, 2022
- Non-discretionary RAUM · $3.7B to $4.1BMar 1, 2021 to Feb 14, 2022
- Pension RAUM · $4.9B to $5.3BMar 1, 2021 to Feb 14, 2022
- RAUM · $5.0B to $5.5BMar 1, 2021 to Feb 14, 2022
- Accounts · 177 to 191Jul 10, 2020 to Mar 1, 2021
- HNW clients · 14 to 18Jul 10, 2020 to Mar 1, 2021
- Individual clients · 154 to 164Jul 10, 2020 to Mar 1, 2021
- Financial planning clients · 1-10 to 11-25Jul 10, 2020 to Mar 1, 2021
- Discretionary RAUM · $1.2B to $1.4BJul 10, 2020 to Mar 1, 2021
- HNW RAUM · $35.7M to $47.5MJul 10, 2020 to Mar 1, 2021
- Individual RAUM · $53.6M to $51.4MJul 10, 2020 to Mar 1, 2021
- Non-discretionary RAUM · $3.6B to $3.7BJul 10, 2020 to Mar 1, 2021
- Pension RAUM · $4.7B to $4.9BJul 10, 2020 to Mar 1, 2021
- RAUM · $4.8B to $5.0BJul 10, 2020 to Mar 1, 2021
- Accounts · 180 to 177Jan 31, 2019 to Mar 19, 2020
- HNW clients · 8 to 14Jan 31, 2019 to Mar 19, 2020
Signals
1 dated events
- C•••••• E••• O•••••• left I••• C•••••• A••••••• I••• for A••••••••• I••••••••• A••••••• (registered 2024-05-16)Jun 14, 2024 · Advisor changed firm · 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