DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
S••••• B•••• • G•••••• I••• D•••• S•• W••••• M•••••••••
Legal name S••••• B•••• • G••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Sep 24, 2019 · 17 filings
SEC status approved since Oct 24, 2019
RAUM
$284M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$282M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$94.7M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$284M as of Mar 16, 2026
Mar 13, 2020$120M then
HNW client RAUM$171M as of Mar 16, 2026
Mar 13, 2020$64.0M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 13, 20204 then
Employees (5.A)7 as of Mar 16, 2026
Mar 13, 202011 then
Private funds: no history
RAUM +0.3% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $94.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $393,577derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- yesreportedItem 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 a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M60%
- Individuals$111M39%
- Corporations and businesses$2.6M0.9%
- Individual clients
- 398reported
- HNW clients
- 79reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 722reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• H••• S•••• | Macon, Ga | Feb 19, 2003 | 42 y | 0 |
| R•••••• O••• N••••• | Macon, Ga | Apr 11, 2006 | 27 y | 2 |
| T•• D••••••• H•••••••• | Macon, Ga | Apr 12, 2017 | 21 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••••• O••• N••••• from V•••• F•••••••• A•••••••• I•••Apr 11, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• T••••• D••••• J•• · President/Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- S••••• R•••••• H••• J• · Chief Executive Officercontrolsince 07/1992 · owns 75% or more
- B•••••••• T••••• E••• J• · Senior Vice Presidentsince 09/2013 · owns less than 5%
- E••••••• H•••• C•• · Financial And Operations Principalsince 12/2012 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Macon, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 16, 2026HNW share of RAUM moved from 45.0% to 60.0% between the annual amendments of 2025-03-28 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 715 to 722Aug 5, 2025 to Mar 16, 2026
- BD registered reps · 9 to 7Aug 5, 2025 to Mar 16, 2026
- HNW clients · 74 to 79Aug 5, 2025 to Mar 16, 2026
- Individual clients · 391 to 398Aug 5, 2025 to Mar 16, 2026
- Employees · 9 to 7Aug 5, 2025 to Mar 16, 2026
- Discretionary RAUM · $283M to $284MAug 5, 2025 to Mar 16, 2026
- HNW RAUM · $127M to $171MAug 5, 2025 to Mar 16, 2026
- Individual RAUM · $154M to $111MAug 5, 2025 to Mar 16, 2026
- RAUM · $283M to $284MAug 5, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Aug 5, 2025
- Accounts · 673 to 715Dec 16, 2024 to Mar 28, 2025
- HNW clients · 68 to 74Dec 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $241M to $283MDec 16, 2024 to Mar 28, 2025
- HNW RAUM · $120M to $127MDec 16, 2024 to Mar 28, 2025
- Individual RAUM · $118M to $154MDec 16, 2024 to Mar 28, 2025
- RAUM · $241M to $283MDec 16, 2024 to Mar 28, 2025
- Accounts · 680 to 673Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 6 to 5Mar 30, 2023 to Mar 28, 2024
- BD registered reps · 10 to 9Mar 30, 2023 to Mar 28, 2024
- HNW clients · 60 to 68Mar 30, 2023 to Mar 28, 2024
- Employees · 10 to 9Mar 30, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 3Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $192M to $241MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $98.3M to $120MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $91.9M to $118MMar 30, 2023 to Mar 28, 2024
- RAUM · $192M to $241MMar 30, 2023 to Mar 28, 2024
- Accounts · 647 to 680Dec 21, 2022 to Mar 30, 2023
- Corporate clients · 3 to 4Dec 21, 2022 to Mar 30, 2023
- HNW clients · 54 to 60Dec 21, 2022 to Mar 30, 2023
- Individual clients · 365 to 391Dec 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $200M to $192MDec 21, 2022 to Mar 30, 2023
- HNW RAUM · $99.4M to $98.3MDec 21, 2022 to Mar 30, 2023
- Individual RAUM · $99.3M to $91.9MDec 21, 2022 to Mar 30, 2023
- RAUM · $200M to $192MDec 21, 2022 to Mar 30, 2023
- Accounts · 550 to 647Jun 21, 2021 to Mar 29, 2022
- BD registered reps · 11 to 10Jun 21, 2021 to Mar 29, 2022
- HNW clients · 41 to 54Jun 21, 2021 to Mar 29, 2022
- Assets in custody · $43,000 to $0Jun 21, 2021 to Mar 29, 2022
- Employees · 11 to 10Jun 21, 2021 to Mar 29, 2022
- Discretionary RAUM · $170M to $200MJun 21, 2021 to Mar 29, 2022
Signals
1 dated events
- S••••• B•••• • G•••••• I••• D•••• S•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 24, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 478-474-7004reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 478-474-7004reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- smithbrownandgroover.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $94.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026