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
M••••• W••••• M••••••••• L•••••
Latest filing Jan 26, 2026
First filing on the tape Feb 2, 2012 · 10 filings
SEC status approved since Mar 11, 2022
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$239M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$239M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$239M as of Jan 26, 2026
Feb 2, 2012$35.6M then
HNW client RAUM$232M as of Jan 26, 2026
Feb 28, 2023$139M then
State-registered IARs (5.B.3)1 as of Jan 26, 2026
Feb 28, 20231 then
Employees (5.A)2 as of Jan 26, 2026
Feb 28, 20232 then
Private funds: no history
RAUM +14% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 26, 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
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $686,221derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- 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$232M97%
- Individuals$7.2M3.0%
- Individual clients
- 6reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 348reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•••••• H••••••Chartered Financial Analyst | Atlanta, Ga | Aug 27, 2010 | 30 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
- M•••••• J•••••• H•••••• from O•••••••• P•••••••• L•••Aug 27, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• M••••••• J•••••• · Chairman, Chief Compliance Officer, Sole Membercontrolsince 12/2006 · 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 · 332 to 348Jan 14, 2025 to Jan 26, 2026
- HNW clients · 62 to 69Jan 14, 2025 to Jan 26, 2026
- Individual clients · 5 to 6Jan 14, 2025 to Jan 26, 2026
- Discretionary RAUM · $209M to $239MJan 14, 2025 to Jan 26, 2026
- HNW RAUM · $203M to $232MJan 14, 2025 to Jan 26, 2026
- Individual RAUM · $6.3M to $7.2MJan 14, 2025 to Jan 26, 2026
- RAUM · $209M to $239MJan 14, 2025 to Jan 26, 2026
- Accounts · 317 to 332Feb 9, 2024 to Jan 14, 2025
- HNW clients · 57 to 62Feb 9, 2024 to Jan 14, 2025
- Individual clients · 9 to 5Feb 9, 2024 to Jan 14, 2025
- Financial planning clients · 0 to 0Feb 9, 2024 to Jan 14, 2025
- HQ city · unset to Feb 9, 2024 to Jan 14, 2025
- HQ state · unset to Feb 9, 2024 to Jan 14, 2025
- Discretionary RAUM · $167M to $209MFeb 9, 2024 to Jan 14, 2025
- HNW RAUM · $162M to $203MFeb 9, 2024 to Jan 14, 2025
- Individual RAUM · $5.0M to $6.3MFeb 9, 2024 to Jan 14, 2025
- RAUM · $167M to $209MFeb 9, 2024 to Jan 14, 2025
- Accounts · 307 to 317Sep 20, 2023 to Feb 9, 2024
- Pension plan clients · 6.0 to unsetSep 20, 2023 to Feb 9, 2024
- Discretionary RAUM · $144M to $167MSep 20, 2023 to Feb 9, 2024
- HNW RAUM · $139M to $162MSep 20, 2023 to Feb 9, 2024
- Individual RAUM · $4.7M to $5.0MSep 20, 2023 to Feb 9, 2024
- RAUM · $144M to $167MSep 20, 2023 to Feb 9, 2024
- Advisory activities · 3 to 4Feb 28, 2023 to Jul 24, 2023
- Pension plan clients · unset to 6.0Feb 28, 2023 to Jul 24, 2023
- Accounts · 302 to 307Feb 9, 2022 to Feb 28, 2023
- HNW clients · 54 to 57Feb 9, 2022 to Feb 28, 2023
- Discretionary RAUM · $149M to $144MFeb 9, 2022 to Feb 28, 2023
- HNW RAUM · $145M to $139MFeb 9, 2022 to Feb 28, 2023
- Individual RAUM · $4.3M to $4.7MFeb 9, 2022 to Feb 28, 2023
- RAUM · $149M to $144MFeb 9, 2022 to Feb 28, 2023
- Accounts · 158 to 302Feb 9, 2012 to Feb 9, 2022
- Advisory employees · unset to 1.0Feb 9, 2012 to Feb 9, 2022
- HNW clients · unset to 54.0Feb 9, 2012 to Feb 9, 2022
- Individual clients · unset to 9.0Feb 9, 2012 to Feb 9, 2022
- Employees · unset to 2.0Feb 9, 2012 to Feb 9, 2022
- Financial planning clients · 11-25 to 0Feb 9, 2012 to Feb 9, 2022
- State-registered IARs · unset to 1.0Feb 9, 2012 to Feb 9, 2022
- Other offices · unset to 0.0Feb 9, 2012 to Feb 9, 2022
- Discretionary RAUM · $25.1M to $149MFeb 9, 2012 to Feb 9, 2022
Signals
1 dated events
- M••••• W••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)Feb 9, 2022 · 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 phone
- 404-939-7080reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-405-8080reportedpublic record, Form ADV, Jan 26, 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
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026