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

C•••••••• A•••••••

Former SEC-registered adviserAtlanta, GeorgiaCRD 140068SEC 801-66487IAPD
Legal name C••••• I•••
Latest filing Feb 1, 2021
First filing on the tape Mar 12, 2012 · 20 filings
RAUM
$2.7B
reported, Item 5.F
Discretionary
77%
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
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$2.7B as of Feb 1, 2021
Mar 12, 2012$2.1B then
HNW client RAUM$0 as of Feb 1, 2021
Mar 19, 2018$0 then
State-registered IARs (5.B.3)5 as of Feb 1, 2021
Mar 7, 20132 then
Employees (5.A)12 as of Feb 1, 2021
Mar 7, 201315 then
Private funds: no history
RAUM +9.1% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 1, 2021; every figure names its basis
RAUM per advisor
$536MderivedRAUM 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
$26.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.1%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, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, educational seminars, 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
  • 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
  • Pension and profit-sharing plans$2.7B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
102reported
Charitable clients
0reported
Accounts
103reported
Financial planning clients
n/areported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F••••• G••••••• A•••••• · President, Owner And Chief Compliance Officercontrol
      since 05/2010 · 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
    • Accounts · 96 to 103
      Aug 13, 2020 to Feb 1, 2021
    • Advisory activities · 3 to 4
      Aug 13, 2020 to Feb 1, 2021
    • Pension plan clients · 95 to 102
      Aug 13, 2020 to Feb 1, 2021
    • Employees · 13 to 12
      Aug 13, 2020 to Feb 1, 2021
    • Discretionary RAUM · $1.8B to $2.1B
      Aug 13, 2020 to Feb 1, 2021
    • Non-discretionary RAUM · $693M to $620M
      Aug 13, 2020 to Feb 1, 2021
    • Pension RAUM · $2.4B to $2.7B
      Aug 13, 2020 to Feb 1, 2021
    • RAUM · $2.5B to $2.7B
      Aug 13, 2020 to Feb 1, 2021
    • Accounts · 85 to 96
      Aug 9, 2019 to Mar 3, 2020
    • Advisory employees · 4 to 5
      Aug 9, 2019 to Mar 3, 2020
    • Pension plan clients · 84 to 95
      Aug 9, 2019 to Mar 3, 2020
    • Employees · 14 to 13
      Aug 9, 2019 to Mar 3, 2020
    • State-registered IARs · 4 to 5
      Aug 9, 2019 to Mar 3, 2020
    • Discretionary RAUM · $1.2B to $1.8B
      Aug 9, 2019 to Mar 3, 2020
    • Non-discretionary RAUM · $581M to $693M
      Aug 9, 2019 to Mar 3, 2020
    • Pension RAUM · $1.8B to $2.4B
      Aug 9, 2019 to Mar 3, 2020
    • RAUM · $1.8B to $2.5B
      Aug 9, 2019 to Mar 3, 2020
    • Legal name · C••••• L•• to C••••, INC.
      Jun 27, 2019 to Aug 9, 2019
    • Organization form · Limited Liability Company to Corporation
      Mar 21, 2019 to Jun 27, 2019
    • Accounts · 79 to 85
      Jan 22, 2019 to Mar 21, 2019
    • Pension plan clients · 78 to 84
      Jan 22, 2019 to Mar 21, 2019
    • Financial planning clients · 0 to unset
      Jan 22, 2019 to Mar 21, 2019
    • Discretionary RAUM · $1.2B to $1.2B
      Jan 22, 2019 to Mar 21, 2019
    • Non-discretionary RAUM · $498M to $581M
      Jan 22, 2019 to Mar 21, 2019
    • Pension RAUM · $1.7B to $1.8B
      Jan 22, 2019 to Mar 21, 2019
    • RAUM · $1.7B to $1.8B
      Jan 22, 2019 to Mar 21, 2019
    • Accounts · 64 to 79
      Mar 30, 2017 to Mar 19, 2018
    • Business name · C•••••••• G•••• to C•••••••• A•••••••
      Mar 30, 2017 to Mar 19, 2018
    • Charity clients · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • Corporate clients · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • HNW clients · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • Individual clients · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • Pension plan clients · unset to 78.0
      Mar 30, 2017 to Mar 19, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • Employees · 11 to 14
      Mar 30, 2017 to Mar 19, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • Discretionary RAUM · $873M to $1.2B
      Mar 30, 2017 to Mar 19, 2018
    • HNW RAUM · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • Individual RAUM · unset to 0.0
      Mar 30, 2017 to Mar 19, 2018
    • Non-discretionary RAUM · $384M to $498M
      Mar 30, 2017 to Mar 19, 2018
    Signals
    2 dated events
    • C•••••••• A••••••• reported RAUM $2.5B, up 35% from $1.8B (2019-08-09 to 2020-03-03)
      Mar 3, 2020 · RAUM change · derived
    • C•••••••• A••••••• reported RAUM $1.7B, up 38% from $1.3B (2017-03-30 to 2018-03-19)
      Mar 19, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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