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
Sugarloaf Wealth Management, LLC
Latest filing Aug 26, 2024
First filing on the tape Mar 28, 2012 · 28 filings
SEC status approved since Feb 13, 2004
RAUM
$610M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$555M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$610M as of Mar 27, 2024
Mar 28, 2012$91.3M then
HNW client RAUM$370M as of Mar 27, 2024
Mar 26, 2018$166M then
State-registered IARs (5.B.3)10 as of Mar 27, 2024
Mar 28, 20120 then
Employees (5.A)14 as of Mar 27, 2024
Apr 1, 20138 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 8 to 10
Practice profile
derived from the filing of Aug 26, 2024; every figure names its basis
- RAUM per advisor
- $61.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $397,174derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- 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
- Wrap fee program
- $30.4MreportedItem 5.I
- Custody
- $106M, 196 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$370M61%
- Individuals$185M30%
- Corporations and businesses$43.8M7.2%
- Charitable organizations$11.6M1.9%
- Individual clients
- 375reported
- HNW clients
- 196reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 1,536reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $106M for 196 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
- Todd Jones Smallwood to ProcyonMar 12, 2025 · RIA to RIA
- Kyle Charles Gaines to Prime Capital FinancialMar 7, 2025 · RIA to RIA
- Christopher Martin Kohne to Prime Capital FinancialMar 7, 2025 · RIA to RIA
- Emory Linder to Prime Capital FinancialMar 6, 2025 · RIA to RIA
- Adam Chapman Wilson to Prime Capital FinancialMar 6, 2025 · RIA to RIA
- Preston Mark Henry to Prime Capital FinancialMar 6, 2025 · RIA to RIA
- Jason Thomas Connolly to Osaic Wealth, Inc.Mar 6, 2025 · Other
- Eric Boyd Philips to Prime Capital FinancialMar 6, 2025 · RIA to RIA
- Taylor Snell Manry to Prime Capital FinancialMar 6, 2025 · RIA to RIA
- Nicholas Austin Schuessler to Prime Capital FinancialMar 6, 2025 · RIA to RIA
- Ya Ting Yang to Ernst & Young Investment Advisers LlpMar 6, 2024 · Other
- Gary Warren Dorsey to Capital Research And Management, Inc.May 12, 2009 · Other
- Eric Todd Stuckey to Osaic Wealth, Inc.Apr 24, 2009 · Other
Joined, latest
- Eric Boyd Philips from Commonwealth Financial NetworkJun 27, 2024 · Affiliated broker-dealer or bank to independent RIA
- Todd Jones Smallwood from Triad Advisors, LLCJul 6, 2022 · Affiliated broker-dealer or bank to independent RIA
- Preston Mark Henry from Advice And Planning ServicesDec 11, 2020 · Affiliated broker-dealer or bank to independent RIA
- Christopher Martin Kohne from Osaic Fa, Inc.Feb 22, 2018 · Other
- Kyle Charles Gaines from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 16, 2017 · Other
- Adam Chapman Wilson from Equitable Advisors, LLCFeb 19, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 left for Prime Capital FinancialMar 6, 2025 · Duluth, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Jason Connolly · Membercontrolsince 10/2003 · owns 25% to 50%
- Snell Taylor Manry · Membercontrolsince 01/2009 · owns 25% to 50%
- Jones Todd Smallwood · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- Chapman Adam Wilson · Membercontrolsince 01/2009 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Duluth, Ga · principal | 0 | 0 | 0 | ||
| Watkinsville, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Watkinsville, GA6 employees
What changed
consecutive filings, newest first
- Accounts · 1,421 to 1,536Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 8 to 10Mar 30, 2023 to Mar 27, 2024
- Charity clients · 4 to 3Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 12 to 13Mar 30, 2023 to Mar 27, 2024
- HNW clients · 195 to 196Mar 30, 2023 to Mar 27, 2024
- Individual clients · 362 to 375Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $86.2M to $106MMar 30, 2023 to Mar 27, 2024
- State-registered IARs · 8 to 10Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $504M to $601MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $322M to $370MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $147M to $185MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $7.4M to $8.6MMar 30, 2023 to Mar 27, 2024
- RAUM · $511M to $610MMar 30, 2023 to Mar 27, 2024
- Accounts · 1,098 to 1,421Oct 7, 2022 to Mar 30, 2023
- Charity clients · 6 to 4Oct 7, 2022 to Mar 30, 2023
- Corporate clients · 7 to 12Oct 7, 2022 to Mar 30, 2023
- HNW clients · 173 to 195Oct 7, 2022 to Mar 30, 2023
- Individual clients · 295 to 362Oct 7, 2022 to Mar 30, 2023
- Assets in custody · $11.3M to $86.2MOct 7, 2022 to Mar 30, 2023
- Employees · 12 to 14Oct 7, 2022 to Mar 30, 2023
- Discretionary RAUM · $506M to $504MOct 7, 2022 to Mar 30, 2023
- HNW RAUM · $336M to $322MOct 7, 2022 to Mar 30, 2023
- Individual RAUM · $133M to $147MOct 7, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $6.6M to $7.4MOct 7, 2022 to Mar 30, 2023
- RAUM · $512M to $511MOct 7, 2022 to Mar 30, 2023
- Related insurance company · true to falseOct 7, 2022 to Mar 30, 2023
- Accounts · 916 to 1,098Mar 31, 2021 to Mar 29, 2022
- Charity clients · 3 to 6Mar 31, 2021 to Mar 29, 2022
- Corporate clients · 5 to 7Mar 31, 2021 to Mar 29, 2022
- HNW clients · 171 to 173Mar 31, 2021 to Mar 29, 2022
- Individual clients · 265 to 295Mar 31, 2021 to Mar 29, 2022
- Assets in custody · $12.4M to $11.3MMar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $385M to $506MMar 31, 2021 to Mar 29, 2022
- HNW RAUM · $258M to $336MMar 31, 2021 to Mar 29, 2022
- Individual RAUM · $92.4M to $133MMar 31, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $4.7M to $6.6MMar 31, 2021 to Mar 29, 2022
- RAUM · $390M to $512MMar 31, 2021 to Mar 29, 2022
- Accounts · 875 to 916Oct 27, 2020 to Mar 31, 2021
- Advisory employees · 7 to 8Oct 27, 2020 to Mar 31, 2021
- BD registered reps · 8 to 9Oct 27, 2020 to Mar 31, 2021
Signals
16 dated events
- Sugarloaf Wealth Management, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $610.1M)May 2, 2025 · Left the SEC roster · derived
- Todd Jones Smallwood left Sugarloaf Wealth Management, Llc for Procyon (registered 2025-11-13)Mar 12, 2025 · Advisor changed firm · fact
- Christopher Martin Kohne left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-06)Mar 7, 2025 · Advisor changed firm · fact
- Kyle Charles Gaines left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-06)Mar 7, 2025 · Advisor changed firm · fact
- Emory Linder left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-05)Mar 6, 2025 · Advisor changed firm · fact
- Adam Chapman Wilson left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-05)Mar 6, 2025 · Advisor changed firm · fact
- Nicholas Austin Schuessler left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-05)Mar 6, 2025 · Advisor changed firm · fact
- Preston Mark Henry left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-06)Mar 6, 2025 · Advisor changed firm · fact
- Taylor Snell Manry left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-05)Mar 6, 2025 · Advisor changed firm · fact
- Jason Thomas Connolly left Sugarloaf Wealth Management, Llc for Osaic Wealth, Inc. (registered 2007-08-08)Mar 6, 2025 · Advisor changed firm · fact
- Eric Boyd Philips left Sugarloaf Wealth Management, Llc for Prime Capital Financial (registered 2025-03-05)Mar 6, 2025 · Advisor changed firm · fact
- Sugarloaf Wealth Management, LLC's advisors moved to Prime Capital Financial (Watkinsville, GA): 8 of 10 registered, a day apartMar 6, 2025 · Firm absorbed (people side) · derived
- Ya Ting Yang left Sugarloaf Wealth Management, Llc for Ernst & Young Investment Advisers Llp (registered 2024-11-15)Mar 6, 2024 · Advisor changed firm · fact
- Maggill Douglas Everett (Member, Chief Compliance Officer) no longer on Schedule A of Sugarloaf Wealth Management, Llc (listed 2022-04-18, absent 2022-07-29)Jul 29, 2022 · Control person left · inference
- Jones Todd Smallwood (Chief Compliance Officer) appeared on Schedule A of Sugarloaf Wealth Management, LlcJul 29, 2022 · Control person joined · fact
- Sugarloaf Wealth Management, Llc reported RAUM $512.3M, up 31% from $389.6M (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
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