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

G••••• C•••••• M••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 138151SEC 801-65765IAPD
Latest filing Mar 10, 2014
First filing on the tape Mar 21, 2012 · 4 filings
RAUM
$717M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$717M as of Mar 10, 2014
Mar 21, 2012$467M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 10, 2014
Mar 12, 20136 then
Employees (5.A)10 as of Mar 10, 2014
Mar 12, 20138 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 6 to 5
Practice profile
derived from the filing of Mar 10, 2014; every figure names its basis
RAUM per advisor
$143MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$987,090derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 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 individualsreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
726reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••• N•••••• H• · Equity Investorcontrol
    since 07/2006 · owns 10% to 25%
  • M••••••• H•••• A• · Managing Directorcontrol
    since 07/2005 · owns 75% or more
  • T••••••• A••• C•••••••• · Chief Compliance Officercontrol
    since 05/2006 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 908 to 726
    Mar 12, 2013 to Mar 10, 2014
  • Advisory employees · 6 to 5
    Mar 12, 2013 to Mar 10, 2014
  • Employees · 8 to 10
    Mar 12, 2013 to Mar 10, 2014
  • State-registered IARs · 6 to 5
    Mar 12, 2013 to Mar 10, 2014
  • Discretionary RAUM · $415M to $687M
    Mar 12, 2013 to Mar 10, 2014
  • Non-discretionary RAUM · $189M to $29.4M
    Mar 12, 2013 to Mar 10, 2014
  • RAUM · $604M to $717M
    Mar 12, 2013 to Mar 10, 2014
  • Accounts · 711 to 908
    May 10, 2012 to Mar 12, 2013
  • Advisory employees · unset to 6.0
    May 10, 2012 to Mar 12, 2013
  • Advisory activities · 3 to 2
    May 10, 2012 to Mar 12, 2013
  • Employees · unset to 8.0
    May 10, 2012 to Mar 12, 2013
  • State-registered IARs · unset to 6.0
    May 10, 2012 to Mar 12, 2013
  • Discretionary RAUM · $287M to $415M
    May 10, 2012 to Mar 12, 2013
  • Non-discretionary RAUM · $180M to $189M
    May 10, 2012 to Mar 12, 2013
  • RAUM · $467M to $604M
    May 10, 2012 to Mar 12, 2013
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.
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