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
C•••••• T•••• • C••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Apr 3, 2018 · 16 filings
SEC status approved since Apr 30, 2018
RAUM
$104M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
98%
$102M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$6.1M
derived; firm RAUM over IAPD count
Employees
33
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$104M as of Mar 27, 2026
Mar 13, 2019$146M then
HNW client RAUM$81.5M as of Mar 27, 2026
Mar 13, 2019$35.3M then
State-registered IARs (5.B.3)15 as of Mar 27, 2026
Mar 13, 201924 then
Employees (5.A)33 as of Mar 27, 2026
Mar 13, 201950 then
Private funds: no history
RAUM -6.6% over the last fiscal year+3.6% a year over threeIARs 19 to 15
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $6.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $618,892derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 8.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $27.4MreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$81.5M78%
- Individuals$20.4M20%
- Pension and profit-sharing plans$1.1M1.1%
- Corporations and businesses$1.0M1.0%
- Individual clients
- 102reported
- HNW clients
- 60reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 168reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $13.7M sponsored, $13.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=33.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• G••• D•••••• | A••••••, Ga | Jul 7, 2004 | 43 y | 1 |
| B•••• E••••• A•••• | A••••••, Ga | Jul 30, 2004 | 29 y | 0 |
| M•••••• J• S•••• | Concord, Nh | Jan 19, 2007 | 24 y | 1 |
| J•••• P••••• P•••••Certified Financial Planner | Atlanta, Ga | Jun 4, 2009 | 26 y | 4 |
| C•••••• V•••••• M••••• | A••••••, Ga | Dec 19, 2013 | 41 y | 2 |
| E••• N••• J•••• | A••••••, Ga | Feb 14, 2014 | 44 y | 3 |
| E•••• L••••• V••••••••• | A••••••, Ga | Feb 12, 2015 | 15 y | 0 |
| G••••• M•••• | A••••••, Ga | Feb 16, 2015 | 40 y | 3 |
| S•••• M•••• L••• | A••••••, Ga | Oct 21, 2016 | 38 y | 2 |
| T•••••• J•• T•••• | A••••••, Ga | Feb 3, 2017 | 44 y | 0 |
| T•••• L••••• M••••• | A••••••, Ga | Mar 10, 2017 | 31 y | 0 |
| B••••••• H••••• C••••• | A••••••, Ga | Mar 10, 2017 | 47 y | 0 |
| K•••••• W•••• M••••• | Auburn, Al | Apr 28, 2017 | 43 y | 0 |
| J••••• J••••• H••••• | Durango, Co | Jun 2, 2017 | 37 y | 1 |
| W•••••• H•••• B•••• | Nashville, Tn | Jun 8, 2017 | 33 y | 2 |
| J•••••• P••• C•••••• | A••••••, Ga | Jan 31, 2020 | 46 y | 3 |
| A••• R•••••• | A••••••, Ga | Mar 2, 2026 | 31 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 headcount4 left over 36 months
Left, latest
- W•••••• A• L•••• to M••••• S••••••Aug 13, 2025 · RIA to wirehouse
- W•••••• J••••• L•• to L•• E••••••••• L••Sep 16, 2024 · RIA to a newly registered adviser
- A••• J••••• C••••• to L•••••••• T••••••• A•••• M••••••••• I••Aug 5, 2024 · RIA to RIA
- B••••••• H••••• C••••• to L•••••••• T••••••• A•••• M••••••••• I••Jul 25, 2024 · RIA to RIA
- L••••• V••••••• N•••• M•••• to I•• G••••• I•••Nov 29, 2021 · Other
- G••••• S•••••• W•••••• to W•••••• F•••••••• • I•••••••• S•••••••Mar 18, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• B• B•••••• to W•••••• F•••••••• • I•••••••• S•••••••Mar 18, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• H••••• L•••••• to R•••••• J•••• • A••••••••• I•••Dec 17, 2018 · RIA to affiliated broker-dealer or bank
- E••• S•••• W••••• to V••••• C•••••• A•••••••• L••Apr 23, 2012 · Other
Joined, latest
- W•••••• J••••• L•• from M•• I•••••••• S•••••••• L••Apr 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••••• P••• C•••••• from S•••••••Jan 31, 2020 · Affiliated broker-dealer or bank to another
- W•••••• H•••• B•••• from W••••••• S••••••••• A•••••••Jun 8, 2017 · Other
- J••••• J••••• H••••• from W••••••• S••••••••• A•••••••Jun 2, 2017 · Other
- A••• J••••• C••••• from L••• K••• • C••••••Mar 10, 2017 · Other
- S•••• M•••• L••• from J••••• M••••••••• S•••• L••Oct 21, 2016 · Other
- M•••••• B• B•••••• from C•••••••• F••••••••• I•••Oct 28, 2015 · Other
- G••••• M•••• from A••••••••• F•••••••• S•••••••• L••Feb 16, 2015 · Affiliated broker-dealer or bank to independent RIA
- E••• N••• J•••• from A••••••••• F•••••••• S•••••••• L••Feb 14, 2014 · Affiliated broker-dealer or bank to independent RIA
- C•••••• V•••••• M••••• from B• R•••• W••••• M•••••••••Dec 19, 2013 · Other
- J•••• P••••• P••••• from A••••••••• A•••••• S•••••••• I•••Jun 4, 2009 · Other
- M•••••• J• S•••• from R•••••• J•••• F•••••••• S•••••••• I•••Jan 19, 2007 · Other
- J•••• G••• D•••••• from W•••• F•••• A•••••••Jul 7, 2004 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•••••••• T••••••• A•••• M••••••••• I••Jul 25, 2024 · A••••••, Ga
- 2 left for W•••••• F•••••••• • I•••••••• S•••••••Mar 18, 2020 · A••••••, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• B••••••• H••••• J• · Gs / Chairmancontrolsince 01/1991 · owns less than 5%
- T••••• T•••••• J•• · President/Ceocontrolsince 09/2002 · owns less than 5%
- M•••••• K•••••• W•••• · Srop/ Crop / Mp/ Ms/ Gs / Fn / Cfo/Ccosince 04/1988 · owns less than 5%
- C•••••• B••••••• H••••• · Common Shareholdersince 03/1996 · owns 25% to 50% of F•••• A•••••• Financial Services, Inc
Entity owners
- F•••• A•••••• F•••••••• S•••••••• I••• · Ownerdirect · owns 75% or more
- A•••••••• C••••• ••••••• E••• · Common Shareholderindirect · owns 50% to 75% of F•••• A•••••• Financial Services, Inc
Related persons
Schedule D 7.A
- C•••••• T•••• • C••••••• I•••broker-dealeryRAUM $104M
Advisers that list C•••••• T•••• • C••••••• I••• as a related person
- 16365 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| A••••••, Ga · principal | 17 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Durango, CO1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 27, 2026discretionary share of RAUM moved from 29.0% to 87.0% between the annual amendments of 2025-04-04 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 185 to 168Feb 2, 2026 to Mar 27, 2026
- Advisory employees · 19 to 15Feb 2, 2026 to Mar 27, 2026
- BD registered reps · 36 to 33Feb 2, 2026 to Mar 27, 2026
- Corporate clients · 6 to 5Feb 2, 2026 to Mar 27, 2026
- HNW clients · 62 to 60Feb 2, 2026 to Mar 27, 2026
- Individual clients · 115 to 102Feb 2, 2026 to Mar 27, 2026
- Pension plan clients · 2 to 1Feb 2, 2026 to Mar 27, 2026
- Employees · 37 to 33Feb 2, 2026 to Mar 27, 2026
- Insurance-licensed employees · 19 to 15Feb 2, 2026 to Mar 27, 2026
- State-registered IARs · 19 to 15Feb 2, 2026 to Mar 27, 2026
- Discretionary RAUM · $32.1M to $90.3MFeb 2, 2026 to Mar 27, 2026
- HNW RAUM · $73.7M to $81.5MFeb 2, 2026 to Mar 27, 2026
- Individual RAUM · $26.5M to $20.4MFeb 2, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $79.2M to $13.7MFeb 2, 2026 to Mar 27, 2026
- Pension RAUM · $1.4M to $1.1MFeb 2, 2026 to Mar 27, 2026
- RAUM · $111M to $104MFeb 2, 2026 to Mar 27, 2026
- Wrap assets (manager) · $79.2M to $13.7MFeb 2, 2026 to Mar 27, 2026
- Wrap assets (sponsor) · $79.2M to $13.7MFeb 2, 2026 to Mar 27, 2026
- Accounts · 199 to 185Mar 18, 2024 to Apr 4, 2025
- BD registered reps · 41 to 36Mar 18, 2024 to Apr 4, 2025
- HNW clients · 69 to 62Mar 18, 2024 to Apr 4, 2025
- Individual clients · 122 to 115Mar 18, 2024 to Apr 4, 2025
- Employees · 41 to 37Mar 18, 2024 to Apr 4, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Apr 4, 2025
- Discretionary RAUM · $32.3M to $32.1MMar 18, 2024 to Apr 4, 2025
- HNW RAUM · $77.1M to $73.7MMar 18, 2024 to Apr 4, 2025
- Individual RAUM · $26.2M to $26.5MMar 18, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $82.2M to $79.2MMar 18, 2024 to Apr 4, 2025
- Pension RAUM · $1.5M to $1.4MMar 18, 2024 to Apr 4, 2025
- RAUM · $114M to $111MMar 18, 2024 to Apr 4, 2025
- Wrap assets (manager) · $80.9M to $79.2MMar 18, 2024 to Apr 4, 2025
- Wrap assets (sponsor) · $80.9M to $79.2MMar 18, 2024 to Apr 4, 2025
- Accounts · 196 to 199Mar 30, 2023 to Mar 18, 2024
- Advisory employees · 20 to 19Mar 30, 2023 to Mar 18, 2024
- BD registered reps · 48 to 41Mar 30, 2023 to Mar 18, 2024
- HNW clients · 67 to 69Mar 30, 2023 to Mar 18, 2024
- Individual clients · 121 to 122Mar 30, 2023 to Mar 18, 2024
- Employees · 48 to 41Mar 30, 2023 to Mar 18, 2024
- Insurance-licensed employees · 20 to 19Mar 30, 2023 to Mar 18, 2024
- State-registered IARs · 20 to 19Mar 30, 2023 to Mar 18, 2024
Signals
6 dated events
- W•••••• A• L•••• left C•••••• T•••• • C••••••• I••• for M••••• S•••••• (registered 2025-09-16)Aug 13, 2025 · a•••••• firm change · fact
- W•••••• J••••• L•• left C•••••• T•••• • C••••••• I••• for L•• E••••••••• L•• (registered 2024-09-23)Sep 16, 2024 · a•••••• firm change · fact
- A••• J••••• C••••• left C•••••• T•••• • C••••••• I••• for L•••••••• T••••••• A•••• M••••••••• I•• (registered 2024-07-25)Aug 5, 2024 · a•••••• firm change · fact
- B••••••• H••••• C••••• left C•••••• T•••• • C••••••• I••• for L•••••••• T••••••• A•••• M••••••••• I•• (registered 2024-07-24)Jul 25, 2024 · a•••••• firm change · fact
- 2 advisors left C•••••• T•••• • C••••••• I••• (Atlanta, GA) for L•••••••• T••••••• A•••• M••••••••• I•• within 11 daysJul 25, 2024 · Team lift-out · derived
- C•••••• T•••• • C••••••• I••• filed its initial SEC registration (Form ADV)Apr 3, 2018 · ria f•••• adv filing · 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
- 404-364-2070reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 404-364-2079reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C•••••T••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-364-2070reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $6.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026