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
F•••••••• I••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 12, 2011 · 43 filings
SEC status approved since Jan 26, 2007
RAUM
$535M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$505M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$268M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$535M as of Mar 20, 2026
Jan 12, 2012$91.1M then
HNW client RAUM$467M as of Mar 20, 2026
Jan 31, 2018$215M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Jan 12, 20120 then
Employees (5.A)2 as of Mar 20, 2026
Jan 29, 20132 then
Private funds: no history
RAUM +34% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $268MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 167derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $499,718derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
- 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$467M88%
- Individuals$38.4M7.2%
- Pension and profit-sharing plans$22.0M4.1%
- Corporations and businesses$4.4M0.8%
- Individual clients
- 100reported
- HNW clients
- 234reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 1,071reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| L•••• K•• S••••••••Certified Financial Planner, Personal Financial Specialist | Atlanta, Ga | Apr 25, 2007 | 29 y | 3 |
| C•••••• H••••• G••••••• | Atlanta, Ga | Apr 10, 2012 | 34 y | 2 |
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
- C•••••• H••••• G••••••• from W•••• F•••• A•••••••Apr 10, 2012 · Other
- L•••• K•• S•••••••• from V••••• F••••••••Apr 25, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• L••••• K•• · Chief Compliance Officercontrolsince 01/2007 · owns 75% or more
Related persons
Schedule D 7.A
- L•••• K• S••••••••• E••• C••• C•• E••••• I••••••••• L••n
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.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 20, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- affiliate changedChange between filings · filing Mar 20, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-03-21, yes on the filing of 2026-03-20peers: independent wealth managers, $500M to $1B (1,482)
- custody status changedChange between filings · filing Mar 20, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-21, no on the filing of 2026-03-20peers: independent wealth managers, $500M to $1B (1,482)
- account count surgeChange between filings · filing Mar 20, 2026accounts (Item 5.F.2.f) moved from 680.0 to 1,071.0 (+57.0%) between the annual amendments of 2025-03-21 and 2026-03-20; the peer median change was +6.0% (1256 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 680 to 1,071Mar 21, 2025 to Mar 20, 2026
- HNW clients · 131 to 234Mar 21, 2025 to Mar 20, 2026
- Individual clients · 180 to 100Mar 21, 2025 to Mar 20, 2026
- Pension plan clients · unset to 13.0Mar 21, 2025 to Mar 20, 2026
- Assets in custody · 46969204.0 to unsetMar 21, 2025 to Mar 20, 2026
- Custody of client assets · true to falseMar 21, 2025 to Mar 20, 2026
- Employees · 7 to 2Mar 21, 2025 to Mar 20, 2026
- HNW RAUM · $324M to $467MMar 21, 2025 to Mar 20, 2026
- Individual RAUM · $67.3M to $38.4MMar 21, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $400M to $535MMar 21, 2025 to Mar 20, 2026
- Pension RAUM · unset to 22002734.0Mar 21, 2025 to Mar 20, 2026
- RAUM · $400M to $535MMar 21, 2025 to Mar 20, 2026
- Related insurance company · false to trueMar 21, 2025 to Mar 20, 2026
- Accounts · 650 to 680Sep 16, 2024 to Mar 21, 2025
- HNW clients · 122 to 131Sep 16, 2024 to Mar 21, 2025
- Individual clients · 176 to 180Sep 16, 2024 to Mar 21, 2025
- Assets in custody · $27.4M to $47.0MSep 16, 2024 to Mar 21, 2025
- Employees · 6 to 7Sep 16, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 1-10Sep 16, 2024 to Mar 21, 2025
- HNW RAUM · $294M to $324MSep 16, 2024 to Mar 21, 2025
- Individual RAUM · $61.8M to $67.3MSep 16, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $363M to $400MSep 16, 2024 to Mar 21, 2025
- RAUM · $363M to $400MSep 16, 2024 to Mar 21, 2025
- Accounts · 616 to 650May 8, 2023 to Mar 26, 2024
- HNW clients · 110 to 122May 8, 2023 to Mar 26, 2024
- Individual clients · 171 to 176May 8, 2023 to Mar 26, 2024
- Assets in custody · $21.9M to $27.4MMay 8, 2023 to Mar 26, 2024
- Employees · 8 to 6May 8, 2023 to Mar 26, 2024
- HNW RAUM · $244M to $294MMay 8, 2023 to Mar 26, 2024
- Individual RAUM · $58.2M to $61.8MMay 8, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $308M to $363MMay 8, 2023 to Mar 26, 2024
- RAUM · $308M to $363MMay 8, 2023 to Mar 26, 2024
- Accounts · 521 to 616Mar 14, 2022 to Mar 30, 2023
- HNW clients · 280 to 110Mar 14, 2022 to Mar 30, 2023
- Individual clients · unset to 171.0Mar 14, 2022 to Mar 30, 2023
- Assets in custody · unset to 21903368.0Mar 14, 2022 to Mar 30, 2023
- Custody of client assets · false to trueMar 14, 2022 to Mar 30, 2023
- Employees · 7 to 8Mar 14, 2022 to Mar 30, 2023
- HNW RAUM · $298M to $244MMar 14, 2022 to Mar 30, 2023
- Individual RAUM · unset to 58216907.0Mar 14, 2022 to Mar 30, 2023
Signals
1 dated events
- F•••••••• I••••••••• L•• reported RAUM $535.2M, up 34% from $400.1M (2025-03-21 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
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
- c••••••@f•••••••••.bizreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c••••@f•••••••••.bizreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- o••••@f•••••••••.bizreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- p•••••••@f•••••••••.bizreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-458-0065reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-393-3063reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/financial-innovations-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FINANCIALI•••••••••.BIZreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-458-0065reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- f•••••••••.bizreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- f•••••••••.bizreportedpublished 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
- $268Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026