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.
Former SEC-registered adviser
Certus Investment Advisors, LLC
Latest filing Dec 9, 2013
First filing on the tape May 7, 2012 · 25 filings
RAUM
$20.5M
reported, Item 5.F
Discretionary
54%
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
22
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$20.5M as of Dec 9, 2013
May 7, 2012$1.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)22 as of Dec 9, 2013
Nov 6, 20123 then
Employees (5.A)22 as of Dec 9, 2013
Nov 6, 20123 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 9, 2013; every figure names its basis
- RAUM per advisor
- $932,471derivedRAUM 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
- $178,386derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 54%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
- 1.8derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
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
- 115reported
- Financial planning clients
- 1-10reported
- 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
- Susan Greene Lockwood to Sandlapper Wealth Management, LLCOct 9, 2015 · Other
- Diane Carol Brown to Advocacy Wealth Management, LLCJun 30, 2015 · Other
- Russell Truesdale to Pnc Wealth ManagementApr 10, 2015 · Other
- Jesse Wade Stinnette to Wallick Investments, LLCMar 3, 2015 · Other
- Shonalee Armaly Gamble to Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 6, 2015 · Other
- Anthony William Hosfeld to Advocacy Wealth Management, LLCDec 22, 2014 · Other
- David Blair Thompson to Cetera Investment Advisers LLCOct 27, 2014 · Other
- Thomas Marion Johnson to Advocacy Wealth Management, LLCSep 24, 2014 · Other
- Victor Patrick Wilkerson to Advocacy Wealth Management, LLCSep 24, 2014 · Other
- Yisen Cai to Advocacy Wealth Management, LLCFeb 14, 2013 · Other
- Jennifer Ford Deloach to Acg Wealth Inc.Nov 26, 2012 · Other
Joined, latest
- Diane Carol Brown from Carolinas Investment Consulting LLCOct 24, 2013 · Other
- Shonalee Armaly Gamble from Sage Capital Holdings, LLCJun 10, 2013 · Other
- Russell Truesdale from Wells Fargo AdvisorsMar 7, 2013 · Other
- Yisen Cai from Transamerica Financial Advisors, LLCJan 4, 2013 · Other
- Jesse Wade Stinnette from The London Company Of VirginiaNov 1, 2012 · Other
- Susan Greene Lockwood from Eps AdvisorsOct 5, 2012 · Other
- David Blair Thompson from Capital Investment Advisory Services, LLCSep 18, 2012 · Other
- Jennifer Ford Deloach from Robert W. Baird & Co. IncorporatedJun 21, 2012 · Other
- Victor Patrick Wilkerson from Sage Capital Holdings, LLCNov 1, 2011 · Other
- Anthony William Hosfeld from Sage Capital Holdings, LLCNov 1, 2011 · Other
- Thomas Marion Johnson from Sage Capital Holdings, LLCOct 25, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mark Elliot Abrams · Chief Risk Officercontrolsince 12/2012 · owns less than 5%
- Regis Robert Hogan · Ceo/Cfo/Managing Membercontrolsince 09/2011 · owns less than 5%
- Marion Thomas Johnson · Chief Compliance Officer/Managing Membercontrolsince 09/2011 · owns less than 5%
- Repke Janet Kahl · Treasurercontrolsince 12/2012 · owns less than 5%
- David Paventi · Chief Operations Officercontrolsince 12/2012 · owns less than 5%
- Glenn Christopher Speaks · Director Of Financecontrolsince 12/2012 · owns less than 5%
- Mason Charles Williams · Chairman Of Board Memberscontrolsince 12/2012 · owns less than 5%
Entity owners
- Certusholdings, Inc. · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Certussecurities, Inc.broker-dealern
- Sage Capital Holdings, LLCinvestment advisernRAUM $28.8M
Advisers that list Certus Investment Advisors, LLC as a related person
- 154306 n
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA
- Brunswick, GA
- Charlotte, NC
- Charlotte, NC
- Columbia, SC
- Columbus, GA
- Easley, SC
- Greenville, SC
- Jefferson, GA
- Macon, GA
- Spartanburg, SC
What changed
consecutive filings, newest first
- Advisory employees · 12 to 15May 10, 2013 to Jun 11, 2013
- BD registered reps · 10 to 18May 10, 2013 to Jun 11, 2013
- Employees · 12 to 22May 10, 2013 to Jun 11, 2013
- Insurance-licensed employees · 1 to 3May 10, 2013 to Jun 11, 2013
- Financial planning clients · 0 to 1-10May 10, 2013 to Jun 11, 2013
- State-registered IARs · 12 to 22May 10, 2013 to Jun 11, 2013
- Accounts · 7 to 115Feb 27, 2013 to Mar 27, 2013
- Discretionary RAUM · $1.4M to $11.1MFeb 27, 2013 to Mar 27, 2013
- Non-discretionary RAUM · $0 to $9.4MFeb 27, 2013 to Mar 27, 2013
- RAUM · $1.4M to $20.5MFeb 27, 2013 to Mar 27, 2013
- Advisory employees · 3 to 12Nov 6, 2012 to Dec 11, 2012
- BD registered reps · 3 to 10Nov 6, 2012 to Dec 11, 2012
- Employees · 3 to 12Nov 6, 2012 to Dec 11, 2012
- Insurance-licensed employees · 3 to 1Nov 6, 2012 to Dec 11, 2012
- State-registered IARs · 3 to 12Nov 6, 2012 to Dec 11, 2012
- Advisory employees · unset to 3.0Sep 13, 2012 to Nov 6, 2012
- BD registered reps · unset to 3.0Sep 13, 2012 to Nov 6, 2012
- Employees · unset to 3.0Sep 13, 2012 to Nov 6, 2012
- State-registered IARs · unset to 3.0Sep 13, 2012 to Nov 6, 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