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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SEC-registered adviser
G••••••• F•••••••• A•••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Mar 6, 2012 · 22 filings
SEC status approved since Feb 23, 2005
RAUM
$239M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
92%
$220M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$239M as of Feb 13, 2026
Mar 6, 2012$94.4M then
HNW client RAUM$205M as of Feb 13, 2026
Mar 22, 2018$123M then
State-registered IARs (5.B.3)2 as of Feb 13, 2026
Mar 6, 20120 then
Employees (5.A)2 as of Feb 13, 2026
Mar 5, 20132 then
Private funds: no history
RAUM +9.0% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $44.6M, 32 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$205M86%
- Individuals$15.5M6.5%
- Charitable organizations$9.7M4.1%
- Corporations and businesses$9.0M3.8%
- Individual clients
- 71reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 140reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.6M for 32 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A••• E•••••••Personal Financial Specialist | Atlanta, Ga | Nov 15, 2011 | 23 y | 3 |
| G••• E•••• W••• | Atlanta, Ga | Nov 17, 2011 | 21 y | 2 |
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
- G••• E•••• W••• to B• W••••• M••••••••• L••Dec 31, 2010 · Other
Joined, latest
- G••• E•••• W••• from B• W••••• M••••••••• L••Nov 17, 2011 · Other
- J•••••• A••• E••••••• from B• W••••• M••••••••• L••Nov 19, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• J••••••• A••• · Membercontrolsince 10/2010 · owns 25% to 50%
- W•••• G•••• E•••• · Member And Chief Compliance Officercontrolsince 11/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
- J••• E•••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 2 | 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
- low discretionary shareStatic outlier · filing Feb 13, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 133 to 140Jan 25, 2025 to Feb 13, 2026
- Charity clients · 2 to 3Jan 25, 2025 to Feb 13, 2026
- HNW clients · 63 to 61Jan 25, 2025 to Feb 13, 2026
- Individual clients · 63 to 71Jan 25, 2025 to Feb 13, 2026
- Assets in custody · $47.6M to $44.6MJan 25, 2025 to Feb 13, 2026
- HNW RAUM · $192M to $205MJan 25, 2025 to Feb 13, 2026
- Individual RAUM · $11.2M to $15.5MJan 25, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $219M to $239MJan 25, 2025 to Feb 13, 2026
- RAUM · $219M to $239MJan 25, 2025 to Feb 13, 2026
- Accounts · 124 to 133Feb 7, 2024 to Jan 25, 2025
- Corporate clients · 6 to 5Feb 7, 2024 to Jan 25, 2025
- HNW clients · 58 to 63Feb 7, 2024 to Jan 25, 2025
- Individual clients · 58 to 63Feb 7, 2024 to Jan 25, 2025
- Assets in custody · $40.5M to $47.6MFeb 7, 2024 to Jan 25, 2025
- Financial planning clients · unset to 0Feb 7, 2024 to Jan 25, 2025
- HNW RAUM · $158M to $192MFeb 7, 2024 to Jan 25, 2025
- Individual RAUM · $9.0M to $11.2MFeb 7, 2024 to Jan 25, 2025
- Non-discretionary RAUM · $182M to $219MFeb 7, 2024 to Jan 25, 2025
- RAUM · $182M to $219MFeb 7, 2024 to Jan 25, 2025
- Accounts · 121 to 124Jul 6, 2023 to Feb 7, 2024
- Corporate clients · 5 to 6Jul 6, 2023 to Feb 7, 2024
- HNW clients · 57 to 58Jul 6, 2023 to Feb 7, 2024
- Individual clients · 57 to 58Jul 6, 2023 to Feb 7, 2024
- Assets in custody · unset to 40480985.0Jul 6, 2023 to Feb 7, 2024
- Custody of client assets · false to trueJul 6, 2023 to Feb 7, 2024
- HNW RAUM · $135M to $158MJul 6, 2023 to Feb 7, 2024
- Individual RAUM · $8.1M to $9.0MJul 6, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $158M to $182MJul 6, 2023 to Feb 7, 2024
- RAUM · $158M to $182MJul 6, 2023 to Feb 7, 2024
- Accounts · 117 to 121Jan 27, 2022 to Jan 27, 2023
- Corporate clients · 6 to 5Jan 27, 2022 to Jan 27, 2023
- HNW clients · 48 to 57Jan 27, 2022 to Jan 27, 2023
- Individual clients · 61 to 57Jan 27, 2022 to Jan 27, 2023
- HNW RAUM · $161M to $135MJan 27, 2022 to Jan 27, 2023
- Individual RAUM · $12.0M to $8.1MJan 27, 2022 to Jan 27, 2023
- Non-discretionary RAUM · $190M to $158MJan 27, 2022 to Jan 27, 2023
- RAUM · $190M to $158MJan 27, 2022 to Jan 27, 2023
- Accounts · 115 to 117Mar 19, 2021 to Jan 27, 2022
- Corporate clients · 5 to 6Mar 19, 2021 to Jan 27, 2022
- Individual clients · 60 to 61Mar 19, 2021 to Jan 27, 2022
Signals
No event on the tape.
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
- Principal office phone
- 770-790-3714reportedpublic record, Form ADV, Feb 13, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026