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
P•••••••• W••••• A•••••••• I••
Latest filing Mar 12, 2026
First filing on the tape Sep 29, 2020 · 11 filings
SEC status approved since Oct 30, 2020
RAUM
$437M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$381M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$218M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$437M as of Mar 12, 2026
Mar 2, 2021$137M then
HNW client RAUM$319M as of Mar 12, 2026
Mar 2, 2021$81.8M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 2, 20213 then
Employees (5.A)3 as of Mar 12, 2026
Mar 2, 20213 then
Private funds: no history
RAUM +26% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- RAUM per advisor
- $218MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 227derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $321,403derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $181M, 249 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$319M73%
- Individuals$62.6M14%
- Corporations and businesses$54.4M12%
- Pension and profit-sharing plans$734,5220.2%
- Charitable organizations$451,7090.1%
- Individual clients
- 279reported
- HNW clients
- 174reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,359reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $181M for 249 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• S••••• L•••••• | Atlanta, Ga | Oct 4, 2006 | 24 y | 3 |
| D•••• S•••• F•••• | Atlanta, Ga | Mar 13, 2007 | 21 y | 1 |
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
- P••• W•••••• C•••••• to T••••• A••••••• S•••••••• I•••Jul 20, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- P••• W•••••• C•••••• from W•••••• • R•••Jun 19, 2018 · Other
- J••••••• S••••• L•••••• from T•••• A•••••••• L••Oct 4, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• D••••• S•••• · Secretary / Chief Financial Officercontrolsince 02/2006 · owns 50% to 75%
- L••••••• J•••••••• S••••• · President / Chief Compliance Officercontrolsince 02/2006 · owns 50% to 75%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,274 to 1,359Mar 13, 2025 to Mar 12, 2026
- Corporate clients · 40 to 50Mar 13, 2025 to Mar 12, 2026
- HNW clients · 167 to 174Mar 13, 2025 to Mar 12, 2026
- Individual clients · 253 to 279Mar 13, 2025 to Mar 12, 2026
- Assets in custody · $109M to $181MMar 13, 2025 to Mar 12, 2026
- Discretionary RAUM · $347M to $437MMar 13, 2025 to Mar 12, 2026
- HNW RAUM · $246M to $319MMar 13, 2025 to Mar 12, 2026
- Individual RAUM · $55.7M to $62.6MMar 13, 2025 to Mar 12, 2026
- Pension RAUM · $1.2M to $734,522Mar 13, 2025 to Mar 12, 2026
- RAUM · $347M to $437MMar 13, 2025 to Mar 12, 2026
- Accounts · 1,077 to 1,274Mar 14, 2024 to Mar 13, 2025
- Corporate clients · 28 to 40Mar 14, 2024 to Mar 13, 2025
- HNW clients · 150 to 167Mar 14, 2024 to Mar 13, 2025
- Individual clients · 245 to 253Mar 14, 2024 to Mar 13, 2025
- Assets in custody · $73.6M to $109MMar 14, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 13, 2025
- Discretionary RAUM · $275M to $347MMar 14, 2024 to Mar 13, 2025
- HNW RAUM · $177M to $246MMar 14, 2024 to Mar 13, 2025
- Individual RAUM · $52.4M to $55.7MMar 14, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $328,004 to $0Mar 14, 2024 to Mar 13, 2025
- Pension RAUM · $1.0M to $1.2MMar 14, 2024 to Mar 13, 2025
- RAUM · $276M to $347MMar 14, 2024 to Mar 13, 2025
- Accounts · 941 to 1,077Aug 17, 2023 to Mar 14, 2024
- Corporate clients · 13 to 28Aug 17, 2023 to Mar 14, 2024
- HNW clients · 110 to 150Aug 17, 2023 to Mar 14, 2024
- Individual clients · 232 to 245Aug 17, 2023 to Mar 14, 2024
- Assets in custody · $4.8M to $73.6MAug 17, 2023 to Mar 14, 2024
- Discretionary RAUM · $215M to $275MAug 17, 2023 to Mar 14, 2024
- HNW RAUM · $146M to $177MAug 17, 2023 to Mar 14, 2024
- Individual RAUM · $50.8M to $52.4MAug 17, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $0 to $328,004Aug 17, 2023 to Mar 14, 2024
- Pension RAUM · $936,660 to $1.0MAug 17, 2023 to Mar 14, 2024
- RAUM · $215M to $276MAug 17, 2023 to Mar 14, 2024
- Assets in custody · $80.3M to $4.8MMar 8, 2023 to Aug 17, 2023
- Accounts · 827 to 941Feb 15, 2022 to Mar 8, 2023
- Charity clients · 2.0 to unsetFeb 15, 2022 to Mar 8, 2023
- HNW clients · 147 to 110Feb 15, 2022 to Mar 8, 2023
- Individual clients · 293 to 232Feb 15, 2022 to Mar 8, 2023
- Pension plan clients · 5.0 to unsetFeb 15, 2022 to Mar 8, 2023
- Assets in custody · $58.2M to $80.3MFeb 15, 2022 to Mar 8, 2023
Signals
1 dated events
- P•••••••• W••••• A•••••••• I•• filed its initial SEC registration (Form ADV)Sep 29, 2020 · 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 email
- a••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-531-0965reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-531-0966reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/79784910/admin/dashboardreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P••••••••WA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 404-531-0965reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $218Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026