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
M•••••••• F•••••••• P••••••• I•••
Latest filing Feb 5, 2026
First filing on the tape Dec 9, 2011 · 9 filings
SEC status approved since Jun 23, 2025
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$116M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$38.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$116M as of Feb 5, 2026
Mar 22, 2012$39.8M then
HNW client RAUM$83.0M as of Feb 5, 2026
May 22, 2025$56.0M then
State-registered IARs (5.B.3)3 as of Feb 5, 2026
Mar 22, 20120 then
Employees (5.A)3 as of Feb 5, 2026
May 22, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $38.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $210,815derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $116MreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.0M72%
- Individuals$32.7M28%
- Individual clients
- 96reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 549reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• R••• K•••• | Atlanta, Ga | Sep 8, 2005 | 21 y | 0 |
| B•••••• M•••• M••••••••Certified Financial Planner | Atlanta, Ga | Sep 8, 2005 | 40 y | 2 |
| J•••••• J••• A•• | Atlanta, Ga | May 16, 2025 | 26 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 headcount1 left over 36 months
Left, latest
- C••••••••• J•• C••••• to A••••••• W••••• M••••••••• L••Feb 14, 2024 · Other
- M•••••• S• S••• to W•••• W••••• M••••••••• I••Apr 1, 2022 · Other
- R••••• S•• D•••• to Y••• R••••••••• C••••Mar 15, 2019 · Other
- J••• A••••• B•••••• to E••••• J••••Mar 8, 2017 · Other
- M•••• L•••• B•••• to D•••••• L••• S••••• L••Dec 31, 2015 · Other
Joined, latest
- C••••••••• J•• C••••• from T••••• A••••••• S•••••••• I•••Sep 20, 2023 · Other
- M•••••• S• S••• from F••••••••Aug 12, 2020 · Other
- J••• A••••• B•••••• from D•••••• L••• S••••• L••Dec 3, 2015 · Other
- M•••• L•••• B•••• from C••• I••••••••• A•••••••• I•••Jan 29, 2013 · Other
- B•••••• M•••• M•••••••• from F•••••••• N•••••• C•••Sep 8, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• B••••••• M•••• · President/Chief Compliance Officercontrolsince 06/1998 · owns 75% or more
- K••••• L••••• R••• · Secretary Treasurersince 05/2000 · 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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 561 to 549Oct 9, 2025 to Feb 5, 2026
- BD registered reps · 4 to 3Oct 9, 2025 to Feb 5, 2026
- HNW clients · 24 to 36Oct 9, 2025 to Feb 5, 2026
- Individual clients · 109 to 96Oct 9, 2025 to Feb 5, 2026
- Employees · 5 to 3Oct 9, 2025 to Feb 5, 2026
- Discretionary RAUM · $103M to $116MOct 9, 2025 to Feb 5, 2026
- HNW RAUM · $56.0M to $83.0MOct 9, 2025 to Feb 5, 2026
- Individual RAUM · $47.0M to $32.7MOct 9, 2025 to Feb 5, 2026
- RAUM · $103M to $116MOct 9, 2025 to Feb 5, 2026
- Accounts · 280 to 561Jun 5, 2012 to May 22, 2025
- Advisory employees · unset to 3.0Jun 5, 2012 to May 22, 2025
- BD registered reps · unset to 4.0Jun 5, 2012 to May 22, 2025
- HNW clients · unset to 24.0Jun 5, 2012 to May 22, 2025
- Individual clients · unset to 109.0Jun 5, 2012 to May 22, 2025
- Employees · unset to 5.0Jun 5, 2012 to May 22, 2025
- Financial planning clients · 101-250 to 101-250Jun 5, 2012 to May 22, 2025
- State-registered IARs · 0 to 3Jun 5, 2012 to May 22, 2025
- Other offices · unset to 0.0Jun 5, 2012 to May 22, 2025
- Discretionary RAUM · $39.8M to $103MJun 5, 2012 to May 22, 2025
- HNW RAUM · unset to 56000000.0Jun 5, 2012 to May 22, 2025
- Individual RAUM · unset to 47000000.0Jun 5, 2012 to May 22, 2025
- RAUM · $39.8M to $103MJun 5, 2012 to May 22, 2025
- Wrap assets (manager) · unset to 0.0Jun 5, 2012 to May 22, 2025
- Wrap assets (sponsor) · unset to 0.0Jun 5, 2012 to May 22, 2025
- Accounts · 284 to 280Dec 9, 2011 to Mar 22, 2012
- Advisory activities · 5 to 4Dec 9, 2011 to Mar 22, 2012
- Commission compensation · true to falseDec 9, 2011 to Mar 22, 2012
- Insurance-licensed employees · unset to 0.0Dec 9, 2011 to Mar 22, 2012
- Discretionary RAUM · $38.0M to $39.8MDec 9, 2011 to Mar 22, 2012
- Non-discretionary RAUM · $140,000 to $0Dec 9, 2011 to Mar 22, 2012
- RAUM · $38.2M to $39.8MDec 9, 2011 to Mar 22, 2012
Signals
2 dated events
- C••••••••• J•• C••••• left M•••••••• F•••••••• P••••••• I••• for A••••••• W••••• M••••••••• L•• (registered 2024-03-19)Feb 14, 2024 · Advisor changed firm · fact
- M•••••• S• S••• left M•••••••• F•••••••• P••••••• I••• for W•••• W••••• M••••••••• I•• (registered 2022-09-20)Apr 1, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-236-7316reportedpublic record, Form ADV, Feb 5, 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
- $38.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026