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

T•• A••••••• F•••

Independent wealth managerAlpharetta, GeorgiaCRD 139125SEC 801-136852websiteIAPD
Latest filing Sep 17, 2026
First filing on the tape Jul 1, 2026 · 2 filings
SEC status approved since Jul 22, 2026
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$126M as of Sep 17, 2026
Jul 1, 2026$126M then
HNW client RAUM$92.1M as of Sep 17, 2026
Jul 1, 2026$92.1M then
State-registered IARs (5.B.3)1 as of Sep 17, 2026
Jul 1, 20261 then
Employees (5.A)1 as of Sep 17, 2026
Jul 1, 20261 then
Private funds: no history
Practice profile
derived from the filing of Sep 17, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$126MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
120derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$315,195derivedRAUM 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
1.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$92.1M73%
  • Individuals$34.3M27%
Individual clients
77reported
HNW clients
43reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
401reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• A••• D•••••Certified Financial PlannerAlpharetta, GaNov 10, 201224 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••• J••••• A••• · Managing Principal / Chief Compliance Officercontrol
      since 12/2005 · owns 75% or more
    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
    • Financial planning clients · 11-25 to 11-25
      Jul 1, 2026 to Sep 17, 2026
    • Related adviser · false to unset
      Jul 1, 2026 to Sep 17, 2026
    • Related bank · false to unset
      Jul 1, 2026 to Sep 17, 2026
    • Related broker-dealer · false to unset
      Jul 1, 2026 to Sep 17, 2026
    • Related insurance company · false to unset
      Jul 1, 2026 to Sep 17, 2026
    • Succession · false to unset
      Jul 1, 2026 to Sep 17, 2026
    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
    Business phone
    678-566-3711reportedpublished by the firm, firm site, Sep 16, 2026
    f••• profile url
    linkedin.com/company/the-advisory-firm-llcreportedpublic record, Form ADV, Sep 19, 2026
    f••• website
    THEADVISORYF•••.NETreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    678-566-3711reportedpublic record, Form ADV, Sep 17, 2026
    Contact form
    t•••••••••.netreportedpublished 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
    $126Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026