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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SEC-registered adviser
W••••• W••• N• R•••••••
Legal name B••••••• W••••• G••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 24, 2023 · 7 filings
SEC status approved since Jun 23, 2023
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$190M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.9M
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$214M as of Mar 30, 2026
Mar 25, 2024$162M then
HNW client RAUM$154M as of Mar 30, 2026
Mar 25, 2024$118M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 25, 20244 then
Employees (5.A)13 as of Mar 30, 2026
Mar 25, 20248 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $42.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $272,768derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $29.6M, 38 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
- High-net-worth individuals$154M72%
- Individuals$36.6M17%
- Charitable organizations$24.0M11%
- Individual clients
- 129reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 786reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $29.6M for 38 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• H••••• S•••••• | Alpharetta, Ga | Sep 12, 2012 | 18 y | 0 |
| S•••• M• N••••Personal Financial Specialist | Alpharetta, Ga | Oct 15, 2013 | 22 y | 0 |
| A••••• K• S•••• | Alpharetta, Ga | Apr 23, 2021 | 11 y | 0 |
| M•••• W••• | Alpharetta, Ga | Aug 19, 2025 | 11 y | 0 |
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
Joined, latest
- T••••• W•••••• R•••• from D•••••• C•••••• M•••••••••Feb 24, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• S••••• M• · Chief Operating Officercontrolsince 01/2017 · owns less than 5%
- S••••••• B••••• H••••• · Managing Member/ Chief Compliance Officercontrolsince 09/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 702 to 786Mar 4, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Mar 4, 2025 to Mar 30, 2026
- HNW clients · 80 to 97Mar 4, 2025 to Mar 30, 2026
- Individual clients · 121 to 129Mar 4, 2025 to Mar 30, 2026
- Assets in custody · $22.4M to $29.6MMar 4, 2025 to Mar 30, 2026
- Employees · 10 to 13Mar 4, 2025 to Mar 30, 2026
- State-registered IARs · 4 to 5Mar 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $193M to $214MMar 4, 2025 to Mar 30, 2026
- HNW RAUM · $137M to $154MMar 4, 2025 to Mar 30, 2026
- Individual RAUM · $35.4M to $36.6MMar 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1M to $0Mar 4, 2025 to Mar 30, 2026
- RAUM · $194M to $214MMar 4, 2025 to Mar 30, 2026
- Accounts · 568 to 702Nov 27, 2024 to Mar 4, 2025
- Advisory activities · 5 to 6Nov 27, 2024 to Mar 4, 2025
- Business name · W••••• W••• N• R••••••• to W••••• W••• N• R•••••••Nov 27, 2024 to Mar 4, 2025
- Charity clients · 5 to 6Nov 27, 2024 to Mar 4, 2025
- HNW clients · 68 to 80Nov 27, 2024 to Mar 4, 2025
- Individual clients · 105 to 121Nov 27, 2024 to Mar 4, 2025
- Assets in custody · $18.3M to $22.4MNov 27, 2024 to Mar 4, 2025
- Employees · 8 to 10Nov 27, 2024 to Mar 4, 2025
- Financial planning clients · 101-250 to 101-250Nov 27, 2024 to Mar 4, 2025
- Discretionary RAUM · $162M to $193MNov 27, 2024 to Mar 4, 2025
- HNW RAUM · $118M to $137MNov 27, 2024 to Mar 4, 2025
- Individual RAUM · $26.6M to $35.4MNov 27, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $0 to $1.1MNov 27, 2024 to Mar 4, 2025
- RAUM · $162M to $194MNov 27, 2024 to Mar 4, 2025
- Accounts · 488 to 568Jul 21, 2023 to Mar 25, 2024
- HNW clients · 58 to 68Jul 21, 2023 to Mar 25, 2024
- Individual clients · 74 to 105Jul 21, 2023 to Mar 25, 2024
- Assets in custody · $9.7M to $18.3MJul 21, 2023 to Mar 25, 2024
- Employees · 7 to 8Jul 21, 2023 to Mar 25, 2024
- Other offices · 1 to 0Jul 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $136M to $162MJul 21, 2023 to Mar 25, 2024
- HNW RAUM · $100M to $118MJul 21, 2023 to Mar 25, 2024
- Individual RAUM · $20.4M to $26.6MJul 21, 2023 to Mar 25, 2024
- RAUM · $136M to $162MJul 21, 2023 to Mar 25, 2024
Signals
1 dated events
- W••••• W••• N• R••••••• filed its initial SEC registration (Form ADV)May 24, 2023 · 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
- 678-278-9632reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- retireabundant.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 678-278-9632reportedpublic record, Form ADV, Mar 30, 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
- $42.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026