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
B••• S••••••• W••••• M•••••••••
Latest filing Sep 26, 2024
First filing on the tape Mar 30, 2012 · 15 filings
SEC status approved since Jan 3, 2011
RAUM
$117M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$108M as of Mar 29, 2024
Mar 30, 2012$92.7M then
HNW client RAUM$59.0M as of Mar 29, 2024
Mar 30, 2018$85.8M then
State-registered IARs (5.B.3)1 as of Mar 29, 2024
Mar 27, 20131 then
Employees (5.A)2 as of Mar 29, 2024
Mar 27, 20134 then
Private funds: no history
RAUM +10% over the last fiscal year-3.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 26, 2024; every figure names its basis
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 233derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $876,712derivedHNW RAUM over HNW clients
- Average account
- $286,064derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.0M55%
- Individuals$53.0M45%
- Individual clients
- 160reported
- HNW clients
- 73reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 409reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• W••••••• B•••••• · President, Ceo And Chief Compliance Officercontrolsince 08/2010 · owns 75% or more
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
- Accounts · 200 to 409Mar 29, 2024 to Sep 26, 2024
- HNW clients · 25 to 73Mar 29, 2024 to Sep 26, 2024
- Individual clients · 200 to 160Mar 29, 2024 to Sep 26, 2024
- HQ city · ATLANTA to unsetMar 29, 2024 to Sep 26, 2024
- HQ state · GA to unsetMar 29, 2024 to Sep 26, 2024
- Discretionary RAUM · $0 to $116MMar 29, 2024 to Sep 26, 2024
- HNW RAUM · $59.0M to $64.0MMar 29, 2024 to Sep 26, 2024
- Individual RAUM · $49.0M to $53.0MMar 29, 2024 to Sep 26, 2024
- Non-discretionary RAUM · $108M to $652,000Mar 29, 2024 to Sep 26, 2024
- RAUM · $108M to $117MMar 29, 2024 to Sep 26, 2024
- Accounts · 445 to 200Mar 27, 2023 to Mar 29, 2024
- HNW clients · 50 to 25Mar 27, 2023 to Mar 29, 2024
- Individual clients · 250 to 200Mar 27, 2023 to Mar 29, 2024
- Employees · 3 to 2Mar 27, 2023 to Mar 29, 2024
- HNW RAUM · $57.0M to $59.0MMar 27, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $106M to $108MMar 27, 2023 to Mar 29, 2024
- RAUM · $106M to $108MMar 27, 2023 to Mar 29, 2024
- Accounts · 468 to 445Mar 18, 2022 to Mar 27, 2023
- HNW clients · 53 to 50Mar 18, 2022 to Mar 27, 2023
- Individual clients · 212 to 250Mar 18, 2022 to Mar 27, 2023
- HNW RAUM · $106M to $57.0MMar 18, 2022 to Mar 27, 2023
- Individual RAUM · $13.5M to $49.0MMar 18, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $125M to $106MMar 18, 2022 to Mar 27, 2023
- RAUM · $125M to $106MMar 18, 2022 to Mar 27, 2023
- Accounts · 467 to 468Mar 31, 2021 to Mar 18, 2022
- Corporate clients · 1 to 0Mar 31, 2021 to Mar 18, 2022
- HNW clients · 55 to 53Mar 31, 2021 to Mar 18, 2022
- Individual clients · 225 to 212Mar 31, 2021 to Mar 18, 2022
- HNW RAUM · $82.5M to $106MMar 31, 2021 to Mar 18, 2022
- Individual RAUM · $42.9M to $13.5MMar 31, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $130M to $125MMar 31, 2021 to Mar 18, 2022
- RAUM · $130M to $125MMar 31, 2021 to Mar 18, 2022
- Accounts · 407 to 467Jun 30, 2020 to Mar 31, 2021
- Advisory activities · 2 to 1Jun 30, 2020 to Mar 31, 2021
- Corporate clients · 0 to 1Jun 30, 2020 to Mar 31, 2021
- HNW clients · 80 to 55Jun 30, 2020 to Mar 31, 2021
- Individual clients · 177 to 225Jun 30, 2020 to Mar 31, 2021
- Employees · 2 to 3Jun 30, 2020 to Mar 31, 2021
- HNW RAUM · $80.0M to $82.5MJun 30, 2020 to Mar 31, 2021
- Individual RAUM · $45.0M to $42.9MJun 30, 2020 to Mar 31, 2021
Signals
1 dated events
- B••• S••••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $117.0M)May 2, 2025 · Left the SEC roster · derived
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