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.
Former SEC-registered adviser
Resource Horizons Investment Advisory, Inc.
Latest filing Jul 18, 2014
First filing on the tape Dec 12, 2011 · 7 filings
RAUM
$149M
reported, Item 5.F
Discretionary
71%
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
107
107 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$149M as of Feb 20, 2014
Mar 29, 2012$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)107 as of Feb 20, 2014
Feb 12, 2013113 then
Employees (5.A)107 as of Feb 20, 2014
Feb 12, 2013113 then
Private funds: no history
RAUM +3.8% over the last fiscal yearIARs 113 to 107
Practice profile
derived from the filing of Jul 18, 2014; every figure names its basis
- RAUM per advisor
- $1.4MderivedRAUM 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
- $143,287derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%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
- 15.3derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,038reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Ronald Allen Schley to Independent Financial Group, LLCDec 31, 2014 · Other
- Joseph Terrell Mann to Concorde Asset Management, LLCDec 31, 2014 · Other
- Gabriel Lynn Gehret to Wealth Enhancement & PreservationDec 31, 2014 · Other
- Timothy Michael Eckel to Center Street Advisors, Inc.Dec 31, 2014 · Other
- Laura Anne Tedball to Advisory Services NetworkDec 31, 2014 · Other
- Randhir Sahni to Sahni, Inc.Dec 31, 2014 · Other
- James Parnick Jennings to Silver Oak Securities, Inc.Dec 31, 2014 · Other
- Clark Harris Weeks to Dempsey Lord Smith, LLCDec 31, 2014 · Other
- Armand Patrick Glassman to Wealth Enhancement & PreservationDec 31, 2014 · Other
- Rajesh C Jyotishi to Dempsey Lord Smith, LLCDec 31, 2014 · Other
- Darrin Stuart Cohen to Wealth Enhancement & PreservationDec 31, 2014 · Other
- Jeffrey Douglas Thomas to Triad Advisors, LLCDec 31, 2014 · Other
- Gwen B Garrison to Investacorp Advisory Services IncDec 31, 2014 · Other
- Ryan Griffin Ledden to Silver Oak Securities, Inc.Dec 31, 2014 · Other
- Robert James Maranghi to Dempsey Lord Smith, LLCDec 31, 2014 · Other
Joined, latest
- Cheryl Dickey Mcguire from Securities America Advisors, Inc.Aug 8, 2014 · Other
- Clarence Edmund Blanton from Advisory Services NetworkMar 28, 2014 · Other
- Joseph Cain Leonard from LPL Financial LLCDec 6, 2013 · Other
- Robin Michael Slaughter from Voya Financial Advisors, Inc.Nov 25, 2013 · Other
- Carlos Alfredo Cortez from Coppell Advisory Solutions LLCOct 28, 2013 · Other
- Ryan Griffin Ledden from Legend Advisory, LLCAug 26, 2013 · Other
- Steven Roger Cross from New England Securities CorporationFeb 6, 2013 · Other
- Gaines Bailey Smith from Gaines Financial Services, Inc.Jan 4, 2013 · Other
- Wilburn Joel Hudson from Valic Financial Advisors, Inc.Oct 4, 2012 · Other
- Marc Lawrence Bullock from L.M. Kohn & CompanyAug 30, 2012 · Other
- Jay B Howard from Leonard And CompanyAug 30, 2012 · Other
- Richard Robert Dwyer from First Command Financial Planning, Inc.Apr 11, 2012 · Other
- Ronald Allen Schley from Partnervest Advisory Services LLCJan 10, 2012 · Other
- Clarence Edmund Blanton from Voya Financial Advisors, Inc.Nov 21, 2011 · Other
- Gabriel Lynn Gehret from SpcNov 8, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Eileen Fannon · Finopcontrolsince 01/2007 · owns less than 5%
- Keith David Miller · Ceocontrolsince 01/2007 · owns less than 5%
- Stolte Kelly Miller · Presidentcontrolsince 01/2007 · owns less than 5%
- Anne Laura Tedball · Chief Compliance Officercontrolsince 01/2008 · owns less than 5%
- Keith David Miller · Shareholdercontrolsince 05/2000 · owns 50% to 75% of Resource Horizons Planning Company
- Phillip Ronald Schutz · Shareholdercontrolsince 05/2000 · owns 75% or more of Resource Horizons Planning Group
Entity owners
- Resource Horizons Holding Company · Shareholderdirect · owns 75% or more
- Resource Horizons Planning Group · Shareholderindirect · owns 75% or more of Resource Horizons Holding Company
Related persons
Schedule D 7.A
- Resource Horizons Group LLCbroker-dealern
Offices
Schedule D 1.F, the 25 largest
- Alpharetta, GA
- Cartersville, GA
- Houston, TX
- Houston, TX
- ,
What changed
consecutive filings, newest first
- Accounts · 1,088 to 1,038Feb 12, 2013 to Feb 20, 2014
- Advisory employees · 113 to 107Feb 12, 2013 to Feb 20, 2014
- BD registered reps · 113 to 107Feb 12, 2013 to Feb 20, 2014
- Employees · 113 to 107Feb 12, 2013 to Feb 20, 2014
- Financial planning clients · 51-100 to 26-50Feb 12, 2013 to Feb 20, 2014
- State-registered IARs · 113 to 107Feb 12, 2013 to Feb 20, 2014
- Discretionary RAUM · $90.3M to $106MFeb 12, 2013 to Feb 20, 2014
- Non-discretionary RAUM · $53.0M to $42.8MFeb 12, 2013 to Feb 20, 2014
- RAUM · $143M to $149MFeb 12, 2013 to Feb 20, 2014
- Accounts · 698 to 1,088Sep 11, 2012 to Feb 12, 2013
- Advisory employees · unset to 113.0Sep 11, 2012 to Feb 12, 2013
- BD registered reps · unset to 113.0Sep 11, 2012 to Feb 12, 2013
- Employees · unset to 113.0Sep 11, 2012 to Feb 12, 2013
- Financial planning clients · 26-50 to 51-100Sep 11, 2012 to Feb 12, 2013
- State-registered IARs · unset to 113.0Sep 11, 2012 to Feb 12, 2013
- Discretionary RAUM · $49.3M to $90.3MSep 11, 2012 to Feb 12, 2013
- Non-discretionary RAUM · $52.8M to $53.0MSep 11, 2012 to Feb 12, 2013
- RAUM · $102M to $143MSep 11, 2012 to Feb 12, 2013
- Accounts · 673 to 698Dec 12, 2011 to Mar 29, 2012
- Discretionary RAUM · $43.5M to $49.3MDec 12, 2011 to Mar 29, 2012
- Non-discretionary RAUM · $50.5M to $52.8MDec 12, 2011 to Mar 29, 2012
- RAUM · $93.9M to $102MDec 12, 2011 to Mar 29, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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