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Former SEC-registered adviser

G••••• I•••• A•••••••• I•••

Former SEC-registered adviserMarietta, GeorgiaCRD 139871SEC 801-66370IAPD
Latest filing Mar 26, 2014
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$21B
reported, Item 5.F
Discretionary
88%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$21B as of Mar 26, 2014
Mar 30, 2012$14B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2014
Mar 30, 20120 then
Employees (5.A)4 as of Mar 26, 2014
Feb 14, 20134 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2014; every figure names its basis
RAUM per advisor
$10BderivedRAUM 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
$4.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
88%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, 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)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• R•••••• H•••• · Director Of Portfolio Operationscontrol
        since 06/1994 · owns 25% to 50%
      • D••••••• G•••••• V•••• · Chairmancontrol
        since 06/1994 · owns 10% to 25%
      • L•••••• J••••• P•••••• · Ceo, Cfocontrol
        since 06/2002 · owns 25% to 50%
      • T••••••••• P•••• T••••• · Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      • S•••••• W••••••• M•••• · Director
        since 01/2014 · owns less than 5%
      • D••••••• V••••• S•••• · Trustee
        since 09/2005 · owns F of D•••••• F••••• I••••••••• T••••
      Entity owners
      • D•••••• F••••• I••••••••• T•••• · Shareholder
        direct · owns 10% to 25%
      • V••••• O••••••••• F•••• L••• · Warrant Holder
        direct · owns 10% to 25%
      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
      • Advisory activities · 4 to 5
        Feb 14, 2013 to Mar 26, 2014
      • Discretionary RAUM · $16B to $19B
        Feb 14, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $1.8B to $2.4B
        Feb 14, 2013 to Mar 26, 2014
      • RAUM · $18B to $21B
        Feb 14, 2013 to Mar 26, 2014
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Feb 14, 2013
      • Employees · unset to 4.0
        Mar 30, 2012 to Feb 14, 2013
      • State-registered IARs · 0 to 2
        Mar 30, 2012 to Feb 14, 2013
      • Discretionary RAUM · $12B to $16B
        Mar 30, 2012 to Feb 14, 2013
      • Non-discretionary RAUM · $1.6B to $1.8B
        Mar 30, 2012 to Feb 14, 2013
      • RAUM · $14B to $18B
        Mar 30, 2012 to Feb 14, 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