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

R•••••• W••••• M••••••••• L••

Former SEC-registered adviserAlpharetta, GeorgiaCRD 148284SEC 801-69599IAPD

Latest filing Nov 3, 2021

First filing on the tape Nov 10, 2011 · 41 filings

RAUM

$278M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$278M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

41 filings and snapshots on the tape

RAUM$278M as of Mar 8, 2021

Mar 1, 2012$219M then

HNW client RAUM$204M as of Mar 8, 2021

Mar 8, 2018$450M then

State-registered IARs (5.B.3)5 as of Mar 8, 2021

Feb 26, 20136 then

Employees (5.A)8 as of Mar 8, 2021

Feb 26, 201310 then

Private funds: no history

RAUM +16% over the last fiscal year-24% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Nov 3, 2021; every figure names its basis

RAUM per advisor: $69.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 62derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $269,444derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$204M73%
Individuals$73.9M27%

Individual clients: 162reported
HNW clients: 85reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,032reported
Financial planning clients: 101-250reported
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

B•••• D•••• H••• to W••••• F•••••••• A•••••••• L••
Dec 31, 2021 · RIA to RIA
S•••• M•••••• M•••• to W••••• F•••••••• A•••••••• L••
Dec 31, 2021 · RIA to RIA
M•••••• K••••• B•••• to W••••• F•••••••• A•••••••• L••
Dec 31, 2021 · RIA to RIA
L••• A••• S••••••••• to W••••• F•••••••• A•••••••• L••
Dec 31, 2021 · RIA to RIA
P••••• L••• S•••• to M••••••• W••••• M••••••••• L••
Nov 1, 2021 · RIA to RIA
A••••• S••• to B••••••• W••••• M••••••••• L••
Dec 31, 2019 · RIA to a newly registered adviser
R•••• K••••••• C•••••• to B••••••• W••••• M••••••••• L••
Dec 31, 2019 · RIA to a newly registered adviser
B•••• J••• M••••• to K••••• A••••••• S•••••••• L••
Jan 3, 2019 · RIA to affiliated broker-dealer or bank
R••• A•••• H••••• to C•••••• E•••••••• G••••• I••
Sep 21, 2018 · RIA to RIA
S••• C•••• G••• to M••••••• W••••• I•••••••••
Jan 24, 2018 · Other
L••••• C•••• O••• to C••••••• W••••• M•••••••••
Dec 31, 2016 · Other
P•••••• M•••• D••••• to T••••••• W••••• M•••••••••
Oct 31, 2014 · Other
E••• E•••••••• M••••• to T••••••• W••••• M•••••••••
Dec 31, 2011 · Other

Joined, latest

M•••••• K••••• B•••• from M••••• W••••• M••••••••• L••
Oct 1, 2018 · RIA to RIA
A••••• S••• from N••• W••••• M••••••••• G••••• L••
Feb 7, 2018 · Other
S••• C•••• G••• from S•••••••• A••••••• L••
Apr 1, 2016 · Other
B•••• J••• M••••• from S•••••••• A••••••• L••
Apr 1, 2015 · Other
P•••••• M•••• D••••• from T••••••••• M•••••••••
Dec 7, 2011 · Other
B•••• D•••• H••• from N•••••• F•••••••• A•••••••• L••
Nov 10, 2008 · Other
S•••• M•••••• M•••• from N•••••• F•••••••• A•••••••• L••
Nov 10, 2008 · Other
L••••• C•••• O••• from N•••••• F•••••••• A•••••••• L••
Nov 10, 2008 · Other
L••• A••• S••••••••• from W••••• 3••• L••
Nov 10, 2008 · Other
R•••• K••••••• C•••••• from N•••••• F•••••••• A•••••••• L••
Nov 4, 2008 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

4 left for W••••• F•••••••• A•••••••• L••
Dec 31, 2021 · Alpharetta, Ga · Firm absorbed
2 left for B••••••• W••••• M••••••••• L••
Dec 31, 2019 · Alpharetta, Ga

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••• S••••• M•••••• · Partner, Chief Compliance Officer (07/21/2008)control
since 07/2008 · owns less than 5%
S••••••••• L•••• A••• · Chief Investment Officercontrol
since 07/2008 · owns less than 5%
M••••• S••••• M•••••• · Presidentcontrol
since 06/2006 · owns 75% or more of R•••••• F•••••••• S•••••••• I•••
S••••••••• L•••• A••• · Ownercontrol
since 01/2008 · owns 75% or more of S••••••••• I•••••••••

Entity owners

R•••••• F•••••••• S•••••••• I••• · Member
direct · owns 50% to 75%
S••••••••• I••••••••• · Member
direct · owns 50% to 75%

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

Advisory employees · 5 to 4
Mar 10, 2021 to Nov 3, 2021
Employees · 8 to 7
Mar 10, 2021 to Nov 3, 2021
State-registered IARs · 5 to 4
Mar 10, 2021 to Nov 3, 2021
Accounts · 1,026 to 1,032
Jul 23, 2020 to Mar 8, 2021
HNW clients · 73 to 85
Jul 23, 2020 to Mar 8, 2021
Individual clients · 172 to 162
Jul 23, 2020 to Mar 8, 2021
Assets in custody · $13.9M to $16.7M
Jul 23, 2020 to Mar 8, 2021
Employees · 9 to 8
Jul 23, 2020 to Mar 8, 2021
Discretionary RAUM · $240M to $278M
Jul 23, 2020 to Mar 8, 2021
HNW RAUM · $160M to $204M
Jul 23, 2020 to Mar 8, 2021
Individual RAUM · $80.0M to $73.9M
Jul 23, 2020 to Mar 8, 2021
RAUM · $240M to $278M
Jul 23, 2020 to Mar 8, 2021
Advisory employees · 4 to 5
May 18, 2020 to Jun 25, 2020
Employees · 8 to 9
May 18, 2020 to Jun 25, 2020
State-registered IARs · 4 to 5
May 18, 2020 to Jun 25, 2020
Accounts · 2,789 to 1,026
Jan 22, 2020 to Mar 10, 2020
Corporate clients · 10.0 to unset
Jan 22, 2020 to Mar 10, 2020
HNW clients · 204 to 73
Jan 22, 2020 to Mar 10, 2020
Individual clients · 400 to 172
Jan 22, 2020 to Mar 10, 2020
Assets in custody · $40.9M to $13.9M
Jan 22, 2020 to Mar 10, 2020
Custody of client assets · true to false
Jan 22, 2020 to Mar 10, 2020
Financial planning clients · More than 500 to 101-250
Jan 22, 2020 to Mar 10, 2020
Discretionary RAUM · $632M to $240M
Jan 22, 2020 to Mar 10, 2020
HNW RAUM · $448M to $160M
Jan 22, 2020 to Mar 10, 2020
Individual RAUM · $172M to $80.0M
Jan 22, 2020 to Mar 10, 2020
RAUM · $632M to $240M
Jan 22, 2020 to Mar 10, 2020
Advisory employees · 7 to 4
Oct 24, 2019 to Jan 22, 2020
Employees · 17 to 8
Oct 24, 2019 to Jan 22, 2020
State-registered IARs · 7 to 4
Oct 24, 2019 to Jan 22, 2020
Accounts · 2,748 to 2,789
Jan 16, 2019 to Feb 20, 2019
Advisory employees · 8 to 7
Jan 16, 2019 to Feb 20, 2019
Corporate clients · 7 to 10
Jan 16, 2019 to Feb 20, 2019
HNW clients · 213 to 204
Jan 16, 2019 to Feb 20, 2019
Individual clients · 397 to 400
Jan 16, 2019 to Feb 20, 2019
Assets in custody · $27.3M to $40.9M
Jan 16, 2019 to Feb 20, 2019
Custody of client assets · false to true
Jan 16, 2019 to Feb 20, 2019
Employees · 18 to 17
Jan 16, 2019 to Feb 20, 2019
State-registered IARs · 9 to 7
Jan 16, 2019 to Feb 20, 2019
Discretionary RAUM · $634M to $632M
Jan 16, 2019 to Feb 20, 2019
HNW RAUM · $450M to $448M
Jan 16, 2019 to Feb 20, 2019

Signals

3 dated events

R•••••• W••••• M••••••••• L•• reported RAUM $240.2M, down 62% from $631.8M (2020-01-22 to 2020-03-10)
Mar 10, 2020 · RAUM change · derived
K••••••• R•••• C•••••• (Chief Financial Officer) no longer on Schedule A of R•••••• W••••• M••••••••• L•• (listed 2019-10-24, absent 2020-01-22)
Jan 22, 2020 · Control person left · inference
Hope Rachael Neil (President) no longer on Schedule A of R•••••• W••••• M••••••••• L•• (listed 2019-08-21, absent 2019-08-21)
Aug 21, 2019 · Control person left · inference

Across DFX

shared identifiers only, never a name match

R•••••• W••••• M••••••••• L•• · Private Equity
shared crd · intermediary

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