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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Former SEC-registered adviser

J••• C••• • A••••••••• I••

Former SEC-registered adviserAthens, GeorgiaCRD 145903SEC 801-76868IAPD
Latest filing Oct 19, 2015
First filing on the tape Jun 27, 2012 · 6 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 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$200M as of Mar 19, 2015
Mar 15, 2013$130M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 19, 2015
Mar 15, 20131 then
Employees (5.A)1 as of Mar 19, 2015
Mar 15, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Oct 19, 2015; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
pension consultingreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
n/areported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourly, commissionsreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• K••••• L• · Cco/Cfocontrol
      since 05/2015 · owns less than 5%
    • Y••••• J••••••• J•• · Presidentcontrol
      since 05/2015 · owns less than 5%
    Entity owners
    • C••••• F•••••••• S••••••••• I••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 2 to 1
      Sep 15, 2015 to Oct 19, 2015
    • Accounts · 8.0 to unset
      Mar 19, 2015 to Sep 15, 2015
    • Advisory employees · 1 to 3
      Mar 19, 2015 to Sep 15, 2015
    • Advisory activities · 4 to 2
      Mar 19, 2015 to Sep 15, 2015
    • BD registered reps · 0 to 2
      Mar 19, 2015 to Sep 15, 2015
    • Commission compensation · false to true
      Mar 19, 2015 to Sep 15, 2015
    • Employees · 1 to 3
      Mar 19, 2015 to Sep 15, 2015
    • Insurance-licensed employees · 0 to 3
      Mar 19, 2015 to Sep 15, 2015
    • Financial planning clients · 1-10 to 11-25
      Mar 19, 2015 to Sep 15, 2015
    • HQ city · ALBANY to ATHENS
      Mar 19, 2015 to Sep 15, 2015
    • State-registered IARs · 1 to 3
      Mar 19, 2015 to Sep 15, 2015
    • Discretionary RAUM · 0.0 to unset
      Mar 19, 2015 to Sep 15, 2015
    • Non-discretionary RAUM · 200000000.0 to unset
      Mar 19, 2015 to Sep 15, 2015
    • RAUM · 200000000.0 to unset
      Mar 19, 2015 to Sep 15, 2015
    • Related broker-dealer · false to true
      Mar 19, 2015 to Sep 15, 2015
    • Accounts · 5 to 8
      Mar 15, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $130M to $200M
      Mar 15, 2013 to Mar 17, 2014
    • RAUM · $130M to $200M
      Mar 15, 2013 to Mar 17, 2014
    • Accounts · 10 to 5
      Jun 27, 2012 to Mar 15, 2013
    • Advisory employees · 0 to 1
      Jun 27, 2012 to Mar 15, 2013
    • Employees · unset to 1.0
      Jun 27, 2012 to Mar 15, 2013
    • State-registered IARs · 0 to 1
      Jun 27, 2012 to Mar 15, 2013
    Signals
    1 dated events
    • J••• C••• • A••••••••• I•• filed its initial SEC registration (Form ADV)
      Jun 27, 2012 · 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.
    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