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

The Daniel Group

Former SEC-registered adviserDuluth, GeorgiaCRD 143592SEC 801-70372IAPD
Legal name The Daniel Financial Group, LLC
Latest filing Jun 8, 2012
First filing on the tape Nov 10, 2011 · 6 filings
RAUM
$52.9M
reported, Item 5.F
Discretionary
94%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$52.9M as of Jun 8, 2012
Nov 10, 2011$58.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 8, 2012
Nov 10, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 8, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$145,644derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individualsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • an independent public accountant performs a surprise examination (9.C.1)
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
363reported
Financial planning clients
51-100reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Scott Gregory Sloan · President/Chief Compliance Officer, Chief Investment Officercontrol
    since 10/2009 · 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 · 364 to 363
    Mar 29, 2012 to Mar 30, 2012
  • Discretionary RAUM · $48.8M to $49.5M
    Mar 29, 2012 to Mar 30, 2012
  • Non-discretionary RAUM · $3.3M to $3.3M
    Mar 29, 2012 to Mar 30, 2012
  • RAUM · $52.2M to $52.9M
    Mar 29, 2012 to Mar 30, 2012
  • Business name · THE DANIEL FINANCIAL GROUP to THE DANIEL GROUP
    Mar 9, 2012 to Mar 29, 2012
  • Accounts · 368 to 364
    Nov 10, 2011 to Mar 9, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 10, 2011 to Mar 9, 2012
  • Discretionary RAUM · $54.6M to $48.8M
    Nov 10, 2011 to Mar 9, 2012
  • Non-discretionary RAUM · $3.7M to $3.3M
    Nov 10, 2011 to Mar 9, 2012
  • RAUM · $58.3M to $52.2M
    Nov 10, 2011 to Mar 9, 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