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

C•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 160182SEC 801-78320IAPD
Latest filing May 17, 2018
First filing on the tape Jul 1, 2013 · 10 filings
RAUM
$214M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$194M gross assets
History
10 filings and snapshots on the tape
RAUM$214M as of Mar 27, 2018
Mar 28, 2014$221M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 28, 20140 then
Employees (5.A)5 as of Mar 27, 2018
Mar 28, 20149 then
Private funds2 as of Mar 27, 2018
Mar 28, 20142 then
RAUM +1.5% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 17, 2018; 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
$71.3MderivedRAUM 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
+1.5%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 vehiclesreportedItem 5.G
Custody
$195M, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Pooled investment vehicles$214M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$195M 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• C•••••• P••••••• O••••••• F•••• L•••no longer reportedHedge Fund$7.2M1Mar 21, 2012
      C•••••••• C•••••• P••••••• I•• L•••no longer reportedHedge Fund$3.5M11Jun 2, 2015
      C•••••••• C•••••• P••••••• M••••• N••••••• L•••no longer reportedHedge Fund$2.2M3Mar 29, 2016
      C•••••••• C•••••• P••••••• O••••••• M••••• F•••• L•••Hedge Fund$279,99910Mar 21, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• P••••••• G••• · Member, Cfo, Coo, Cco, Treasurer And Secretary, Member Of Management Committeecontrol
        since 09/2008 · owns less than 5%
      • M••••••• J•••••• L• · President, Member Of Management Committeecontrol
        since 09/2008 · owns less than 5%
      • M••••••• J•••••• L• · Trusteecontrol
        since 09/2008 · owns F of J••••• L• M••••••• I•• I••••••••• F••••• T••••
      • P•••••• K••• S• · Membercontrol
        since 07/2010 · owns 75% or more of E••• A•••• M••••••••• L••
      • P•••••• T•••••••• M• · Membercontrol
        since 07/2010 · owns 75% or more of E••• A•••• M••••••••• L••
      Entity owners
      • E••• A•••• M••••••••• L•• · Member
        direct · owns 25% to 50%
      • M•••••• C•••••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • J••••• L• M••••••• I•• I••••••••• F••••• T•••• · Member
        indirect · owns 75% or more of M•••••• C•••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list C•••••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 13, 2017 to Mar 27, 2018
      • Advisory employees · 4 to 3
        Mar 13, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 13, 2017 to Mar 27, 2018
      • Assets in custody · $191M to $195M
        Mar 13, 2017 to Mar 27, 2018
      • Employees · 6 to 5
        Mar 13, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • Private funds · 3 to 2
        Mar 13, 2017 to Mar 27, 2018
      • Discretionary RAUM · $211M to $214M
        Mar 13, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 213945718.0
        Mar 13, 2017 to Mar 27, 2018
      • RAUM · $211M to $214M
        Mar 13, 2017 to Mar 27, 2018
      • Accounts · 5 to 4
        Mar 29, 2016 to Mar 13, 2017
      • Advisory employees · 5 to 4
        Mar 29, 2016 to Mar 13, 2017
      • Assets in custody · $211M to $191M
        Mar 29, 2016 to Mar 13, 2017
      • Employees · 9 to 6
        Mar 29, 2016 to Mar 13, 2017
      • Private funds · 4 to 3
        Mar 29, 2016 to Mar 13, 2017
      • Discretionary RAUM · $219M to $211M
        Mar 29, 2016 to Mar 13, 2017
      • RAUM · $219M to $211M
        Mar 29, 2016 to Mar 13, 2017
      • Advisory activities · 2 to 1
        Jun 2, 2015 to Mar 29, 2016
      • Assets in custody · $196M to $211M
        Jun 2, 2015 to Mar 29, 2016
      • Employees · 8 to 9
        Jun 2, 2015 to Mar 29, 2016
      • Private funds · 3 to 4
        Jun 2, 2015 to Mar 29, 2016
      • Discretionary RAUM · $277M to $219M
        Jun 2, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $2.5M to $0
        Jun 2, 2015 to Mar 29, 2016
      • RAUM · $279M to $219M
        Jun 2, 2015 to Mar 29, 2016
      • Accounts · 4 to 5
        Mar 27, 2015 to Jun 2, 2015
      • Assets in custody · $194M to $196M
        Mar 27, 2015 to Jun 2, 2015
      • Private funds · 2 to 3
        Mar 27, 2015 to Jun 2, 2015
      • Discretionary RAUM · $280M to $277M
        Mar 27, 2015 to Jun 2, 2015
      • RAUM · $283M to $279M
        Mar 27, 2015 to Jun 2, 2015
      • Advisory employees · 6 to 5
        Apr 2, 2014 to Mar 27, 2015
      • Assets in custody · $162M to $194M
        Apr 2, 2014 to Mar 27, 2015
      • Employees · 9 to 8
        Apr 2, 2014 to Mar 27, 2015
      • Discretionary RAUM · $220M to $280M
        Apr 2, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $1.1M to $2.5M
        Apr 2, 2014 to Mar 27, 2015
      • RAUM · $221M to $283M
        Apr 2, 2014 to Mar 27, 2015
      • Related adviser · true to false
        Apr 2, 2014 to Mar 27, 2015
      • Accounts · 3 to 4
        Jul 2, 2013 to Mar 28, 2014
      • Assets in custody · $130M to $162M
        Jul 2, 2013 to Mar 28, 2014
      • Discretionary RAUM · $114M to $220M
        Jul 2, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $0 to $1.1M
        Jul 2, 2013 to Mar 28, 2014
      Signals
      1 dated events
      • C•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 1, 2013 · 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.
      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