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

P•••••••• W••••• M••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 131821SEC 801-63235IAPD
Latest filing Apr 13, 2018
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$256M
reported, Item 5.F
Discretionary
17%
of RAUM
Private clients
83%
$213M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$43.1M gross assets
History
9 filings and snapshots on the tape
RAUM$256M as of Mar 28, 2018
Mar 29, 2012$172M then
HNW client RAUM: $213M
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 29, 20120 then
Employees (5.A)5 as of Mar 28, 2018
Mar 28, 20135 then
Private funds: 4
RAUM -36% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.5MderivedHNW RAUM over HNW clients
Average account
$5.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
17%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-36%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$213M, 9 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
  • 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$213M83%
  • Pooled investment vehicles$43.2M17%
Individual clients
n/areported
HNW clients
39reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
44reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$213M for 9 clientsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• E••••••••• J••••••• · Vice President And Treasurercontrol
        since 03/2005 · owns less than 5%
      • K•••• S••••••• T••• · Vice Presidentcontrol
        since 03/2005 · owns less than 5%
      • M••••• A••• G••••• · Vice Presidentcontrol
        since 05/2010 · owns less than 5%
      • P•••••• D••••• B••• · Chief Compliance Officercontrol
        since 07/2003 · owns less than 5%
      Entity owners
      • T•• G••••••••• G••••• L•• · Member/Manager
        direct · owns 75% or more
      • T••••• H•••• M••••••••• C•••••• L•• · Owner
        indirect · owns 75% or more of T•• G••••••••• G••••• L••
      Related persons
      Schedule D 7.A
      • G••••••••• C•••••• M••••••••• L••
        insurancey
      Advisers that list P•••••••• W••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $356M to $213M
        Mar 28, 2018 to Apr 13, 2018
      • Accounts · 42 to 44
        Mar 6, 2017 to Mar 28, 2018
      • HNW clients · unset to 39.0
        Mar 6, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 6, 2017 to Mar 28, 2018
      • Assets in custody · unset to 355543359.0
        Mar 6, 2017 to Mar 28, 2018
      • Custody of client assets · false to true
        Mar 6, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 6, 2017 to Mar 28, 2018
      • Private funds · unset to 4
        Mar 6, 2017 to Mar 28, 2018
      • Discretionary RAUM · $43.6M to $43.2M
        Mar 6, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 213097910.0
        Mar 6, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $356M to $213M
        Mar 6, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 43172411.0
        Mar 6, 2017 to Mar 28, 2018
      • RAUM · $399M to $256M
        Mar 6, 2017 to Mar 28, 2018
      • Discretionary RAUM · $264M to $43.6M
        Sep 7, 2016 to Mar 6, 2017
      • Non-discretionary RAUM · $44.0M to $356M
        Sep 7, 2016 to Mar 6, 2017
      • RAUM · $308M to $399M
        Sep 7, 2016 to Mar 6, 2017
      • Accounts · 30 to 42
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $42.7M to $264M
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $231M to $44.0M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $274M to $308M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 31 to 30
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $43.4M to $42.7M
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $217M to $231M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $261M to $274M
        Mar 31, 2014 to Mar 31, 2015
      • Related adviser · true to false
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 26 to 31
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $42.6M to $43.4M
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $148M to $217M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $190M to $261M
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 22 to 26
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $51.9M to $42.6M
        Mar 29, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $121M to $148M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $172M to $190M
        Mar 29, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • P•••••••• W••••• M••••••••• L•• reported RAUM $256.3M, down 36% from $399.1M (2017-03-06 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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