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

E••• A•••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 142261SEC 801-67338IAPD
Latest filing Mar 22, 2018
First filing on the tape Mar 28, 2012 · 24 filings
RAUM
$3.5B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
83%
$2.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
36
22 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
4
$227M gross assets
History
24 filings and snapshots on the tape
RAUM$3.5B as of Mar 22, 2018
Mar 28, 2012$1.4B then
HNW client RAUM: $2.9B
State-registered IARs (5.B.3)25 as of Mar 22, 2018
Mar 28, 20120 then
Employees (5.A)36 as of Mar 22, 2018
Apr 1, 201318 then
Private funds4 as of Mar 22, 2018
Mar 28, 20122 then
RAUM +30% over the last fiscal year+14% a year over threeIARs 15 to 25
Practice profile
derived from the filing of Mar 22, 2018; every figure names its basis
RAUM per advisor
$140MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$12.0MderivedHNW RAUM over HNW clients
Average account
$12.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.6derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+30%derivedbetween the last two annual amendments
Advisor growth, one year
+67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$2.6B, 251 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.9B87%
  • Pooled investment vehicles$220M6.6%
  • Investment companies$65.4M2.0%
  • Charitable organizations$50.5M1.5%
  • State and municipal entities$46.6M1.4%
  • Corporations and businesses$44.2M1.3%
  • Other investment advisers$18.4M0.6%
Individual clients
n/areported
HNW clients
242reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
274reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$2.6B for 251 clientsreported
Compensation
% of AUM, fixed, performancereported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    E••• D•••••••• L••Hedge Fund$6.8M13Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••••• J•••••• P••• · Partnercontrol
      since 02/2007 · owns less than 5%
    • I••••• P•••• R•••••• P••••••• · Partnercontrol
      since 02/2007 · owns less than 5%
    • J••••• H••••• M••••• · Managing Partnercontrol
      since 09/2012 · owns less than 5%
    • K•••••• B••••••• C••••••••• · Chief Operating Officercontrol
      since 12/2016 · owns less than 5%
    • M••••• W••••••• A••••• · Partnercontrol
      since 09/2012 · owns less than 5%
    • R••••• A•••••• A••• · Partnercontrol
      since 02/2007 · owns less than 5%
    • S•••••• W••••••• C• · Partnercontrol
      since 09/2012 · owns less than 5%
    • C•••••• M••••••• B• · Chief Compliance Officer
      since 09/2017 · owns less than 5%
    Entity owners
    • E••• C•••••• P•••••••• L•• · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Dallas, TX3 employees
    • Charlotte, NC2 employees
    • Chapel Hill, NC1 employees
    • Lexington, KY1 employees
    • Nashville, TN1 employees
    • Tampa, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 222 to 274
      Sep 28, 2017 to Mar 22, 2018
    • Advisory employees · 19 to 22
      Sep 28, 2017 to Mar 22, 2018
    • Advisory activities · 7 to 8
      Sep 28, 2017 to Mar 22, 2018
    • BD registered reps · 11 to 4
      Sep 28, 2017 to Mar 22, 2018
    • Corporate clients · unset to 7.0
      Sep 28, 2017 to Mar 22, 2018
    • HNW clients · unset to 242.0
      Sep 28, 2017 to Mar 22, 2018
    • Pooled vehicle clients · unset to 4.0
      Sep 28, 2017 to Mar 22, 2018
    • Assets in custody · unset to 2602867010.0
      Sep 28, 2017 to Mar 22, 2018
    • Custody of client assets · false to true
      Sep 28, 2017 to Mar 22, 2018
    • Employees · 30 to 36
      Sep 28, 2017 to Mar 22, 2018
    • Financial planning clients · 0 to 11-25
      Sep 28, 2017 to Mar 22, 2018
    • State-registered IARs · 15 to 25
      Sep 28, 2017 to Mar 22, 2018
    • Other offices · unset to 6.0
      Sep 28, 2017 to Mar 22, 2018
    • Discretionary RAUM · $2.6B to $3.3B
      Sep 28, 2017 to Mar 22, 2018
    • HNW RAUM · unset to 2897914626.0
      Sep 28, 2017 to Mar 22, 2018
    • Non-discretionary RAUM · $91.5M to $146M
      Sep 28, 2017 to Mar 22, 2018
    • Pooled vehicle RAUM · unset to 220125491.0
      Sep 28, 2017 to Mar 22, 2018
    • RAUM · $2.7B to $3.5B
      Sep 28, 2017 to Mar 22, 2018
    • Discretionary RAUM · $1.5B to $2.6B
      Sep 28, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $807M to $91.5M
      Sep 28, 2016 to Mar 31, 2017
    • RAUM · $2.3B to $2.7B
      Sep 28, 2016 to Mar 31, 2017
    • Accounts · 1,562 to 222
      Sep 28, 2016 to Mar 31, 2017
    • BD registered reps · 12 to 11
      Sep 28, 2016 to Mar 31, 2017
    • Assets in custody · 209943344.0 to unset
      Sep 28, 2016 to Mar 31, 2017
    • Employees · 31 to 30
      Sep 28, 2016 to Mar 31, 2017
    • State-registered IARs · 19 to 15
      Sep 28, 2016 to Mar 31, 2017
    • Accounts · 1,650 to 1,562
      Dec 8, 2015 to Apr 1, 2016
    • Advisory employees · 17 to 19
      Dec 8, 2015 to Apr 1, 2016
    • Assets in custody · $2.4M to $210M
      Dec 8, 2015 to Apr 1, 2016
    • Employees · 26 to 31
      Dec 8, 2015 to Apr 1, 2016
    • State-registered IARs · 18 to 19
      Dec 8, 2015 to Apr 1, 2016
    • Discretionary RAUM · $1.5B to $1.5B
      Dec 8, 2015 to Apr 1, 2016
    • Non-discretionary RAUM · $908M to $807M
      Dec 8, 2015 to Apr 1, 2016
    • RAUM · $2.4B to $2.3B
      Dec 8, 2015 to Apr 1, 2016
    • Accounts · 1,294 to 1,650
      Nov 18, 2014 to Mar 31, 2015
    • Advisory employees · 18 to 17
      Nov 18, 2014 to Mar 31, 2015
    • Assets in custody · $3.0M to $2.4M
      Nov 18, 2014 to Mar 31, 2015
    • Employees · 21 to 26
      Nov 18, 2014 to Mar 31, 2015
    • Financial planning clients · unset to 0
      Nov 18, 2014 to Mar 31, 2015
    • State-registered IARs · 16 to 18
      Nov 18, 2014 to Mar 31, 2015
    Signals
    3 dated events
    • E••• A•••••••• L•• reported 25 state-registered advisory representatives, up from 15 (2017-09-28 to 2018-03-22)
      Mar 22, 2018 · Advisor headcount change · derived
    • E••• A•••••••• L•• reported RAUM $3.5B, up 30% from $2.7B (2017-09-28 to 2018-03-22)
      Mar 22, 2018 · RAUM change · derived
    • E••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Oct 31, 2014 · Succession (Item 4) · fact
    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