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

N••••••• C•••••••• F•••••••• A•••••••• I••

Former SEC-registered adviserDouglasville, GeorgiaCRD 154794SEC 801-72150IAPD
Latest filing Nov 13, 2013
First filing on the tape Dec 21, 2011 · 4 filings
RAUM
$1.0M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$1.0M as of Apr 1, 2013
Mar 30, 2012$1.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 1, 2013
Mar 30, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Nov 13, 2013; every figure names its basis
RAUM per advisor
$1.0MderivedRAUM 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
$111,111derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
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
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H••••• J•••• W•••Douglasville, GaMay 2, 201132 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W•••• B••••••• J• · Ownercontrol
      since 01/2011 · owns 50% to 75%
    • W•••• H•••••• J•••• · Chief Executive Officer/Chief Compliance Officercontrol
      since 01/2011 · owns less than 5%
    • W•••• R••••••• J••••••• · Ownercontrol
      since 01/2011 · owns 25% to 50%
    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 · unset to 1.0
      Mar 30, 2012 to Apr 1, 2013
    • Employees · unset to 1.0
      Mar 30, 2012 to Apr 1, 2013
    • HQ city · SPRING HILL to DOUGLASVILLE
      Mar 30, 2012 to Apr 1, 2013
    • HQ state · TN to GA
      Mar 30, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 1
      Mar 30, 2012 to Apr 1, 2013
    • Accounts · 0 to 9
      Dec 21, 2011 to Mar 30, 2012
    • Discretionary RAUM · $0 to $900,000
      Dec 21, 2011 to Mar 30, 2012
    • Non-discretionary RAUM · $0 to $100,000
      Dec 21, 2011 to Mar 30, 2012
    • RAUM · $0 to $1.0M
      Dec 21, 2011 to Mar 30, 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.
    How to reach
    public business contact points only, each with its source
    Firm profile
    linkedin.com/company/3614990/admin/w.linkedin.com/company/36reportedpublic record, Form ADV, Sep 18, 2026
    Website
    NCFAINC.ORGreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $1.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026