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.

SEC-registered adviser

The Lloyd Advisory Group

Independent wealth managerSuwanee, GeorgiaCRD 150582SEC 801-117056website IAPD

Legal name Lloyd Advisory Services, LLC

Latest filing Mar 25, 2026

First filing on the tape Jun 26, 2019 · 24 filings

SEC status approved since Jul 26, 2019

RAUM

$438M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

97%

$426M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$62.5M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$438M as of Mar 25, 2026

Mar 16, 2020$218M then

HNW client RAUM$119M as of Mar 25, 2026

Mar 16, 2020$15.9M then

State-registered IARs (5.B.3)6 as of Mar 25, 2026

Mar 16, 20205 then

Employees (5.A)13 as of Mar 25, 2026

Mar 16, 202016 then

Private funds: no history

RAUM +18% over the last fiscal year+20% a year over threeIARs 7 to 6

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

RAUM per advisor: $62.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 172derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $157,482derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.9derivedItem 5.A over advisors
Advisors per office: 2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: -14%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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: $240M, 690 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)
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

Individuals$308M70%
High-net-worth individuals$119M27%
Pension and profit-sharing plans$11.0M2.5%
Corporations and businesses$241,6910.1%

Individual clients: 1,142reported
HNW clients: 60reported
Pension plan clients: 60reported
Charitable clients: n/areported
Accounts: 2,779reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $438M managedreported
Custody of client assets: $240M for 690 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Mark Alan Lloyd	Suwanee, Ga	Jun 25, 2009	31 y	2
Andrew Burton Jones	Suwanee, Ga	Jun 25, 2009	19 y	2
James Blake MorrisCertified Financial Planner	Suwanee, Ga	Jul 7, 2009	18 y	2
Andrew Jacob Lloyd	Suwanee, Ga	Jul 6, 2022	12 y	0
Mark Alan Lloyd	Suwanee, Ga	Aug 1, 2023	15 y	0
Shaun Paul Duffy	Suwanee, Ga	Mar 11, 2024	19 y	0
Brent William Capehart	Alpharetta, Ga	Apr 21, 2026	16 y	3

Advisor movement

1 left, 1 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months

Left, latest

Creston John Maxey to Ifg Advisory, LLC
Oct 10, 2025 · RIA to RIA
Clifford Robert Hitt to Investus Advisers LLC
Aug 8, 2018 · Other
Don Eugene Ash to Corecap Advisors
Nov 14, 2011 · RIA to a newly registered adviser

Joined, latest

Brent William Capehart from Ae Wealth Management, LLC
Apr 21, 2026 · Affiliated broker-dealer or bank to independent RIA
Don Eugene Ash from Envision Investment Advisors, LLC
Aug 18, 2010 · Other
James Blake Morris from Envision Investment Advisors, LLC
Jul 7, 2009 · Other
Mark Alan Lloyd from Envision Investment Advisors, LLC
Jun 25, 2009 · Other
Andrew Burton Jones from Envision Investment Advisors, LLC
Jun 25, 2009 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Alan Mark Lloyd · Chief Executive Officercontrol
since 06/2009 · owns less than 5%
Alan Mark Lloyd · Ceocontrol
since 02/2024 · owns 75% or more of The Lloyd Group Legacy, Inc
Richard Dennis Mason · Chief Compliance Officer
since 02/2024 · owns less than 5%

Entity owners

The Lloyd Advisory Group, LLC · Member
direct · owns 75% or more
The Lloyd Group Holdings, LLC · Member
indirect · owns 75% or more of The Lloyd Advisory Group, LLC
The Lloyd Group Legacy, Inc · Member
indirect · owns 50% to 75% of The Lloyd Group Holdings, LLC

Related persons

Schedule D 7.A

The Lloyd Group, Inc.
real estatey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Suwanee, Ga · principal	7	1	1

Offices

Schedule D 1.F, the 25 largest

Gainesville, GA4 employees
Roswell, GA4 employees

What changed

consecutive filings, newest first

Accounts · 2,660 to 2,779
Nov 4, 2025 to Mar 25, 2026
Advisory employees · 7 to 6
Nov 4, 2025 to Mar 25, 2026
Corporate clients · 2.0 to unset
Nov 4, 2025 to Mar 25, 2026
HNW clients · unset to 60.0
Nov 4, 2025 to Mar 25, 2026
Individual clients · 1,160 to 1,142
Nov 4, 2025 to Mar 25, 2026
Pension plan clients · 98 to 60
Nov 4, 2025 to Mar 25, 2026
Assets in custody · $4.0M to $240M
Nov 4, 2025 to Mar 25, 2026
Employees · 16 to 13
Nov 4, 2025 to Mar 25, 2026
State-registered IARs · 7 to 6
Nov 4, 2025 to Mar 25, 2026
Discretionary RAUM · $372M to $438M
Nov 4, 2025 to Mar 25, 2026
HNW RAUM · unset to 118833202.0
Nov 4, 2025 to Mar 25, 2026
Individual RAUM · $361M to $308M
Nov 4, 2025 to Mar 25, 2026
Pension RAUM · $10.9M to $11.0M
Nov 4, 2025 to Mar 25, 2026
RAUM · $372M to $438M
Nov 4, 2025 to Mar 25, 2026
Wrap assets (manager) · $300M to $438M
Nov 4, 2025 to Mar 25, 2026
Accounts · 2,486 to 2,660
Apr 25, 2024 to Mar 26, 2025
Corporate clients · 1 to 2
Apr 25, 2024 to Mar 26, 2025
Individual clients · 1,079 to 1,160
Apr 25, 2024 to Mar 26, 2025
Pension plan clients · 88 to 98
Apr 25, 2024 to Mar 26, 2025
Employees · 14 to 16
Apr 25, 2024 to Mar 26, 2025
Financial planning clients · unset to
Apr 25, 2024 to Mar 26, 2025
Discretionary RAUM · $300M to $372M
Apr 25, 2024 to Mar 26, 2025
Individual RAUM · $294M to $361M
Apr 25, 2024 to Mar 26, 2025
Pension RAUM · $5.8M to $10.9M
Apr 25, 2024 to Mar 26, 2025
RAUM · $300M to $372M
Apr 25, 2024 to Mar 26, 2025
Business name · THE LLOYD GROUP to THE LLOYD ADVISORY GROUP
Apr 25, 2024 to Apr 25, 2024
Accounts · 2,390 to 2,486
Feb 19, 2024 to Mar 29, 2024
Advisory employees · 5 to 7
Feb 19, 2024 to Mar 29, 2024
Corporate clients · unset to 1.0
Feb 19, 2024 to Mar 29, 2024
HNW clients · 34.0 to unset
Feb 19, 2024 to Mar 29, 2024
Individual clients · 999 to 1,079
Feb 19, 2024 to Mar 29, 2024
Pension plan clients · unset to 88.0
Feb 19, 2024 to Mar 29, 2024
Assets in custody · unset to 4040560.0
Feb 19, 2024 to Mar 29, 2024
Custody of client assets · false to true
Feb 19, 2024 to Mar 29, 2024
Employees · 13 to 14
Feb 19, 2024 to Mar 29, 2024
State-registered IARs · 5 to 7
Feb 19, 2024 to Mar 29, 2024
Discretionary RAUM · $252M to $300M
Feb 19, 2024 to Mar 29, 2024
HNW RAUM · 73770511.0 to unset
Feb 19, 2024 to Mar 29, 2024
Individual RAUM · $178M to $294M
Feb 19, 2024 to Mar 29, 2024
Pension RAUM · unset to 5762829.0
Feb 19, 2024 to Mar 29, 2024

Signals

7 dated events

Creston John Maxey left The Lloyd Advisory Group for Ifg Advisory, Llc (registered 2025-10-27)
Oct 10, 2025 · Advisor changed firm · fact
Blake James Morris (Chief Operating Officer) no longer on Schedule A of The Lloyd Advisory Group (listed 2024-02-19, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
Perdue Alisha Dowell (Chief Compliance Officer) no longer on Schedule A of The Lloyd Advisory Group (listed 2024-02-10, absent 2024-02-19)
Feb 19, 2024 · Control person left · inference
Richard Dennis Mason (Chief Compliance Officer) appeared on Schedule A of The Lloyd Advisory Group
Feb 19, 2024 · Control person joined · fact
Perdue Alisha Dowell (Chief Compliance Officer) appeared on Schedule A of The Lloyd Advisory Group
Sep 27, 2023 · Control person joined · fact
Burton Andrew Jones (Chief Compliance Officer) no longer on Schedule A of The Lloyd Advisory Group (listed 2023-03-31, absent 2023-09-27)
Sep 27, 2023 · Control person left · inference
The Lloyd Group filed its initial SEC registration (Form ADV)
Jun 26, 2019 · 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.

How to reach

public business contact points only, each with its source

Business phone: 800-731-5572reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 700-932-0387reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 770-932-0387reportedpublished by the firm, firm site, Sep 15, 2026
Website: lloydadvisorygroup.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 770-932-0387reportedpublic record, Form ADV, Mar 25, 2026
Contact form: lloydadvisorygroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: lloydadvisorygroup.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $62.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026