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
P•••••••• I••••••••• P•••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Mar 5, 2018 · 22 filings
SEC status approved since Apr 4, 2018
RAUM
$336M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$321M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$336M as of Mar 27, 2026
Mar 8, 2019$124M then
HNW client RAUM$266M as of Mar 27, 2026
Feb 29, 2024$175M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 8, 20191 then
Employees (5.A)2 as of Mar 27, 2026
Mar 8, 20191 then
Private funds: no history
RAUM +10.0% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $685,331derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $74.3M, 98 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$266M79%
- Individuals$55.2M16%
- Corporations and businesses$15.0M4.5%
- Individual clients
- 145reported
- HNW clients
- 82reported
- Pension plan clients
- 21reported
- Charitable clients
- n/areported
- Accounts
- 490reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.3M for 98 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• K•••• S••••••• | Vero Beach, Fl | May 8, 2007 | 41 y | 1 |
| C••••••• S••••••• D••••• | Atlanta, Ga | Dec 21, 2023 | 13 y | 0 |
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
- G•••••• K•••• S••••••• from N••••••• T•••• S••••••••• I••May 8, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• G••••••• K•••• · Managing Member/Chief Compliance Officercontrolsince 07/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Vero Beach, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 27, 2026 to Sep 14, 2026
- HQ city · to unsetMar 27, 2026 to Sep 14, 2026
- HQ state · to unsetMar 27, 2026 to Sep 14, 2026
- Related adviser · false to unsetMar 27, 2026 to Sep 14, 2026
- Related bank · false to unsetMar 27, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetMar 27, 2026 to Sep 14, 2026
- Related insurance company · false to unsetMar 27, 2026 to Sep 14, 2026
- Succession · false to unsetMar 27, 2026 to Sep 14, 2026
- Accounts · 429 to 490Nov 5, 2025 to Mar 27, 2026
- Corporate clients · unset to 15.0Nov 5, 2025 to Mar 27, 2026
- HNW clients · 85 to 82Nov 5, 2025 to Mar 27, 2026
- Individual clients · 148 to 145Nov 5, 2025 to Mar 27, 2026
- Pension plan clients · unset to 21.0Nov 5, 2025 to Mar 27, 2026
- Assets in custody · $74.5M to $74.3MNov 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $305M to $336MNov 5, 2025 to Mar 27, 2026
- HNW RAUM · $233M to $266MNov 5, 2025 to Mar 27, 2026
- Individual RAUM · $72.4M to $55.2MNov 5, 2025 to Mar 27, 2026
- RAUM · $305M to $336MNov 5, 2025 to Mar 27, 2026
- Accounts · 376 to 429Sep 13, 2024 to Mar 31, 2025
- Corporate clients · 22.0 to unsetSep 13, 2024 to Mar 31, 2025
- HNW clients · 75 to 85Sep 13, 2024 to Mar 31, 2025
- Individual clients · 98 to 148Sep 13, 2024 to Mar 31, 2025
- Assets in custody · $61.0M to $74.5MSep 13, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 13, 2024 to Mar 31, 2025
- HQ city · unset to Sep 13, 2024 to Mar 31, 2025
- HQ state · unset to Sep 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $265M to $305MSep 13, 2024 to Mar 31, 2025
- HNW RAUM · $175M to $233MSep 13, 2024 to Mar 31, 2025
- Individual RAUM · $68.3M to $72.4MSep 13, 2024 to Mar 31, 2025
- Pension RAUM · unset to 0.0Sep 13, 2024 to Mar 31, 2025
- RAUM · $265M to $305MSep 13, 2024 to Mar 31, 2025
- Accounts · 433 to 376Jan 2, 2024 to Feb 29, 2024
- Corporate clients · unset to 22.0Jan 2, 2024 to Feb 29, 2024
- HNW clients · unset to 75.0Jan 2, 2024 to Feb 29, 2024
- Individual clients · 211 to 98Jan 2, 2024 to Feb 29, 2024
- Assets in custody · $43.9M to $61.0MJan 2, 2024 to Feb 29, 2024
- Other offices · 0 to 1Jan 2, 2024 to Feb 29, 2024
- Discretionary RAUM · $237M to $265MJan 2, 2024 to Feb 29, 2024
- HNW RAUM · unset to 175469557.0Jan 2, 2024 to Feb 29, 2024
- Individual RAUM · $237M to $68.3MJan 2, 2024 to Feb 29, 2024
Signals
1 dated events
- P•••••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 5, 2018 · 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
- 404-226-2728reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 404-403-9079reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-226-2728reportedpublic record, Form ADV, Sep 14, 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
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026