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•••••••• A•••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 156339SEC 801-72161IAPD
Latest filing Mar 31, 2015
First filing on the tape Dec 1, 2011 · 6 filings
RAUM
$77.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$58.3M gross assets
History
6 filings and snapshots on the tape
RAUM$77.4M as of Mar 31, 2015
Mar 29, 2012$491M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 29, 20120 then
Employees (5.A)7 as of Mar 31, 2015
Mar 28, 20136 then
Private funds2 as of Mar 31, 2015
Mar 29, 20124 then
RAUM -49% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$25.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-49%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$58.3M, 2 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
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$58.3M for 2 clientsreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••••• G••••• V•••• F•••no longer reportedHedge Fund$299M21Mar 29, 2012
      R•••••••• W••••• W•••• F•••no longer reportedHedge Fund$198M22Mar 29, 2012
      R•••••••• E••••• S••••••••• F••• S••• H••••• V••••••••• E••••• S••••••••• P••••••••Hedge Fund$50.6M19Mar 29, 2012
      R•••••••• E••••• S••••••••• F••• S••• V••••••••• A•••••••• S••••••••• P••••••••Hedge Fund$10.0M4Mar 29, 2012
      R•••••••• F••••••• O••••••••• F•••Hedge Fund$7.7M13Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• B••••• G• · Managercontrol
        since 06/2006 · owns less than 5%
      • T•••••• K•••• A•••• · Managercontrol
        since 03/1998 · owns less than 5%
      • G•••••• S••••••• T••••• · Manager And Membercontrol
        since 11/2005 · owns 75% or more of G••••• • C••• L••
      • S••••••• B••••• G• · Membercontrol
        since 10/2012 · owns F of R•••••••• Capital Holdings
      • T•••••• K•••• A•••• · Membercontrol
        since 01/2012 · owns 25% to 50% of R•••••••• C•••••• H•••••••• L••
      • K••••• A•• · Member
        since 10/2012 · owns F of R•••••••• Capital Holdings
      • W••••••• D••••• K••• · Member
        since 12/2005 · owns F of G••••• • C••• L••
      Entity owners
      • R•••••••• C•••••• H•••••••• L•• · Member
        direct · owns 75% or more
      • G••••• • C••• L•• · Member
        indirect · owns 25% to 50% of R•••••••• C•••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      • B••• R•••• F••••• O••••• P•••••••• L••
        n
      • Bison Wealth, LLC
        investment advisernRAUM $1.6B
      • L••••••• I•••••••• G••••• L••
        real estaten
      • L••• P••• C•••••• G••••• L••
        n
      • L••• P••• R••••••• A•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Jul 11, 2014 to Mar 31, 2015
      • Assets in custody · $152M to $58.3M
        Jul 11, 2014 to Mar 31, 2015
      • Private funds · 3 to 2
        Jul 11, 2014 to Mar 31, 2015
      • Discretionary RAUM · $152M to $77.4M
        Jul 11, 2014 to Mar 31, 2015
      • RAUM · $152M to $77.4M
        Jul 11, 2014 to Mar 31, 2015
      • Accounts · 3 to 4
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 3 to 4
        Mar 28, 2013 to Mar 31, 2014
      • Advisory activities · 1 to 2
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $338M to $152M
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 6 to 7
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $338M to $152M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $338M to $152M
        Mar 28, 2013 to Mar 31, 2014
      • Related adviser · false to true
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 4 to 3
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Mar 28, 2013
      • Assets in custody · $491M to $338M
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 29, 2012 to Mar 28, 2013
      • Private funds · 4 to 3
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $491M to $338M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $491M to $338M
        Mar 29, 2012 to Mar 28, 2013
      • Accounts · 3 to 4
        Dec 1, 2011 to Mar 29, 2012
      • Assets in custody · $648M to $491M
        Dec 1, 2011 to Mar 29, 2012
      • Private funds · unset to 4
        Dec 1, 2011 to Mar 29, 2012
      • Discretionary RAUM · $648M to $491M
        Dec 1, 2011 to Mar 29, 2012
      • RAUM · $648M to $491M
        Dec 1, 2011 to Mar 29, 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.
      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