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
A•• W••••• I•••
Latest filing Mar 29, 2022
First filing on the tape Dec 20, 2011 · 70 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
79%
$967M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
70 filings and snapshots on the tape
RAUM$1.2B as of Mar 29, 2022
Mar 30, 2012$431M then
HNW client RAUM$825M as of Mar 29, 2022
Mar 30, 2018$839M then
State-registered IARs (5.B.3)7 as of Mar 29, 2022
Mar 30, 20120 then
Employees (5.A)13 as of Mar 29, 2022
Mar 28, 201315 then
Private funds: no history
RAUM -2.4% over the last fiscal year+0.7% a year over threeIARs 5 to 7offices 5 to 4
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $673,739derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $207M, 193 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$825M69%
- Pension and profit-sharing plans$231M19%
- Individuals$141M12%
- Individual clients
- 488reported
- HNW clients
- 226reported
- Pension plan clients
- 38reported
- Charitable clients
- n/areported
- Accounts
- 1,815reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $40.7M managedreported
- Custody of client assets
- $207M for 193 clientsreported
- 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
- J••••• P• Y•••• to M••••• G••••• A••••••• I•••Dec 16, 2022 · RIA to RIA
- D•••• T• W•••• to M••••• G••••• A••••••• I•••Dec 16, 2022 · RIA to RIA
- F•••• T•••••• to M••••• G••••• A••••••• I•••Dec 16, 2022 · RIA to RIA
- R••• M•••• to M••••• G••••• A••••••• I•••Dec 16, 2022 · RIA to RIA
- J•••••• T•••• S••••• to M••••• G••••• A••••••• I•••Dec 16, 2022 · RIA to RIA
- K•••• L•••• R•••••••• to A••••••• W••••• A•••••••Dec 16, 2022 · RIA to affiliated broker-dealer or bank
- D•••• M••••• M•••••• to E•• W••••• M••••••••• L••Nov 30, 2021 · Other
- R•••••• M•••••• R••••••• to A••••••• W••••• A•••••••Nov 30, 2021 · RIA to affiliated broker-dealer or bank
- P•••••• R••••• C••••••• to O•••• A••••••• S•••••••• L••Nov 30, 2021 · RIA to affiliated broker-dealer or bank
- R•••••• O••• A•••• to E•• W••••• M••••••••• L••Nov 30, 2021 · Other
- T••••• E••••• J•••• to E•• W••••• M••••••••• L••Nov 30, 2021 · RIA to RIA
- D•••• Y••••• M••••••• to A••••••• W••••• A•••••••Apr 27, 2021 · Other
- M••• A••• T••••••• to E•• W••••• M••••••••• L••Mar 22, 2021 · Other
- S•••••• J••• F••••••• to A••••••• W••••• A•••••••Mar 22, 2021 · RIA to RIA
- M••• A•••••••• R•••••• to E•• W••••• M••••••••• L••Mar 5, 2021 · Other
Joined, latest
- M•••••• W• C••••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- D•••• T• W•••• from R••••••• F•••••••• A•••••••• L••Oct 5, 2018 · RIA to RIA
- D•••• B•••••• from O•••• A••••••• S•••••••• L••Jul 13, 2018 · RIA to RIA
- J•••• C•••• G••••• from T•••• A•••••••• L••Mar 22, 2018 · Other
- S•••••• L••••••••• from T•••• A•••••••• L••Mar 21, 2018 · Other
- R••• M•••• from S•••••••• A••••••• L••Dec 4, 2017 · Other
- R•••••• M•••••• R••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 5, 2017 · Other
- S•••• M•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 5, 2017 · Other
- P••• D••••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 18, 2016 · Other
- C••••••••• J• D••••• from W•••••• I••••••••• S•••••••••Nov 11, 2015 · Other
- R••••• D•••• H•••••• from O••••••••• • C•• I•••Sep 18, 2015 · Other
- T••••• E••••• J•••• from T•• P••••• I••••••••• L••Jul 16, 2014 · Other
- D•••• G••••••• C•••• from J••• A•••••••• I•••Jun 11, 2014 · Other
- L•••• S•••••• from P•• C•••••• H•••••••• L••Sep 9, 2013 · Other
- J••••••• F••• D•••••• from C••••• I••••••••• A•••••••• L••Jan 29, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for M••••• G••••• A••••••• I•••Dec 16, 2022 · A••••••, Ga · Firm absorbed
- 3 left for E•• W••••• M••••••••• L••Nov 30, 2021 · A••••••, Ga
- 3 left for E•• W••••• M••••••••• L••Nov 20, 2020 · A••••••, Ga
- 2 left for A••••••• W••••• A•••••••Apr 2, 2018 · Jacksonville, Fl
- 2 left for A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P•••••••••Mar 16, 2018 · Cumming, Ga
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 3, 2017 · Alpharetta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J••••••• T•••• · Founding Principal, Ccocontrolsince 03/2019 · owns less than 5%
- S•••••• J••••••• T•••• · Managing Membercontrolsince 09/2016 · owns 25% to 50% of A•• H•••••••
- Y••••• J•••••• P• · Managing Membercontrolsince 09/2016 · owns 25% to 50% of A•• H•••••••
Entity owners
- A•• H••••••• · Ownerdirect · owns less than 5%
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Durham, NC4 employees
- Houston, TX4 employees
- Jacksonville, FL3 employees
- St. Simons Island, GA2 employees
What changed
consecutive filings, newest first
- Accounts · 2,583 to 1,815Nov 30, 2021 to Mar 29, 2022
- Advisory employees · 5 to 7Nov 30, 2021 to Mar 29, 2022
- BD registered reps · 5 to 4Nov 30, 2021 to Mar 29, 2022
- Charity clients · 8.0 to unsetNov 30, 2021 to Mar 29, 2022
- Corporate clients · 28.0 to unsetNov 30, 2021 to Mar 29, 2022
- HNW clients · 231 to 226Nov 30, 2021 to Mar 29, 2022
- Individual clients · 642 to 488Nov 30, 2021 to Mar 29, 2022
- Pension plan clients · 11 to 38Nov 30, 2021 to Mar 29, 2022
- Assets in custody · $291M to $207MNov 30, 2021 to Mar 29, 2022
- Employees · 9 to 13Nov 30, 2021 to Mar 29, 2022
- Insurance-licensed employees · 5 to 0Nov 30, 2021 to Mar 29, 2022
- State-registered IARs · 5 to 7Nov 30, 2021 to Mar 29, 2022
- Other offices · 5 to 4Nov 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $935M to $1.2BNov 30, 2021 to Mar 29, 2022
- HNW RAUM · $827M to $825MNov 30, 2021 to Mar 29, 2022
- Individual RAUM · $193M to $141MNov 30, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $318M to $31.6MNov 30, 2021 to Mar 29, 2022
- Pension RAUM · $178M to $231MNov 30, 2021 to Mar 29, 2022
- RAUM · $1.3B to $1.2BNov 30, 2021 to Mar 29, 2022
- Related adviser · true to falseNov 30, 2021 to Mar 29, 2022
- Related broker-dealer · true to falseNov 30, 2021 to Mar 29, 2022
- Wrap assets (manager) · $0 to $40.7MNov 30, 2021 to Mar 29, 2022
- Accounts · 3,667 to 2,583Feb 8, 2021 to Mar 31, 2021
- Advisory employees · 16 to 5Feb 8, 2021 to Mar 31, 2021
- BD registered reps · 14 to 5Feb 8, 2021 to Mar 31, 2021
- Charity clients · 10 to 8Feb 8, 2021 to Mar 31, 2021
- Corporate clients · 31 to 28Feb 8, 2021 to Mar 31, 2021
- HNW clients · 246 to 231Feb 8, 2021 to Mar 31, 2021
- Individual clients · 959 to 642Feb 8, 2021 to Mar 31, 2021
- Pension plan clients · 6 to 11Feb 8, 2021 to Mar 31, 2021
- Assets in custody · $568M to $291MFeb 8, 2021 to Mar 31, 2021
- Employees · 20 to 9Feb 8, 2021 to Mar 31, 2021
- Insurance-licensed employees · 1 to 5Feb 8, 2021 to Mar 31, 2021
- Financial planning clients · 1-10 to 11-25Feb 8, 2021 to Mar 31, 2021
- State-registered IARs · 16 to 5Feb 8, 2021 to Mar 31, 2021
- Discretionary RAUM · $918M to $935MFeb 8, 2021 to Mar 31, 2021
- HNW RAUM · $526M to $827MFeb 8, 2021 to Mar 31, 2021
- Individual RAUM · $701M to $193MFeb 8, 2021 to Mar 31, 2021
- Non-discretionary RAUM · $437M to $318MFeb 8, 2021 to Mar 31, 2021
- Pension RAUM · $14.8M to $178MFeb 8, 2021 to Mar 31, 2021
Signals
15 dated events
- K•••• L•••• R•••••••• left A•• W••••• I••• for A••••••• W••••• A••••••• (registered 2021-04-26)Dec 16, 2022 · Advisor changed firm · fact
- F•••• T•••••• left A•• W••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-04-07)Dec 16, 2022 · Advisor changed firm · fact
- R••• M•••• left A•• W••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-01-13)Dec 16, 2022 · Advisor changed firm · fact
- D•••• T• W•••• left A•• W••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-04-08)Dec 16, 2022 · Advisor changed firm · fact
- J••••• P• Y•••• left A•• W••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-07-06)Dec 16, 2022 · Advisor changed firm · fact
- J•••••• T•••• S••••• left A•• W••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-06-30)Dec 16, 2022 · Advisor changed firm · fact
- A•• W••••• I•••'s advisors moved to M••••• G••••• A••••••• I••• (Atlanta, GA): 5 of 6 registered, on the same dayDec 16, 2022 · Firm absorbed (people side) · derived
- Yancey D•••• Millican (Managing Member) no longer on Schedule A of A•• W••••• I••• (listed 2021-11-30, absent 2021-11-30)Nov 30, 2021 · Control person left · inference
- L••• J••••••• S••••••• (Cco) no longer on Schedule A of A•• W••••• I••• (listed 2021-04-05, absent 2021-05-03)May 3, 2021 · Control person left · inference
- A•• W••••• I••• reported 5 state-registered advisory representatives, down from 16 (2021-02-08 to 2021-03-31)Mar 31, 2021 · Advisor headcount change · derived
- L••• J••••••• S••••••• (Cco) appeared on Schedule A of A•• W••••• I•••Feb 8, 2021 · Control person joined · fact
- Paul Robert Lavigne (Cco) no longer on Schedule A of A•• W••••• I••• (listed 2020-10-20, absent 2021-02-08)Feb 8, 2021 · Control person left · inference
- Paul Robert Lavigne (Cco) appeared on Schedule A of A•• W••••• I•••Mar 30, 2020 · Control person joined · fact
- A•• W••••• I••• reported 16 state-registered advisory representatives, down from 26 (2019-03-18 to 2020-03-30)Mar 30, 2020 · Advisor headcount change · derived
- G•••••• F••• (President & Ceo) no longer on Schedule A of A•• W••••• I••• (listed 2018-12-12, absent 2019-01-30)Jan 30, 2019 · Control person left · inference
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