DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• F••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Apr 5, 2018 · 24 filings
SEC status approved since May 4, 2018
RAUM
$159M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
82%
$131M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$26.4M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$159M as of Mar 18, 2026
Feb 14, 2019$121M then
HNW client RAUM$110M as of Mar 18, 2026
Feb 14, 2019$39.9M then
State-registered IARs (5.B.3)6 as of Mar 18, 2026
Feb 14, 20194 then
Employees (5.A)6 as of Mar 18, 2026
Feb 14, 20195 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 18, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $26.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $680,705derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $127MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M70%
- Pension and profit-sharing plans$28.0M18%
- Individuals$20.3M13%
- Individual clients
- 54reported
- HNW clients
- 54reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 233reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••••• H••••••Certified Financial Planner | Calhoun, Ga | Jan 16, 2013 | 26 y | 2 |
| J•••• S• M•••••• | Calhoun, Ga | Jan 16, 2013 | 49 y | 0 |
| L••• J••••••• M••••••••Certified Financial Planner | Calhoun, Ga | Jan 16, 2013 | 19 y | 0 |
| D••••• A••••••• P••••Certified Financial Planner | Rome, Ga | Jan 16, 2013 | 26 y | 0 |
| W•••••• S•••••• S••••••Certified Financial Planner | Cumming, Ga | Jul 3, 2017 | 33 y | 0 |
| M•• E••••• H••••••Certified Financial Planner | Calhoun, Ga | Apr 25, 2019 | 15 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
- J•••• E••••• H•••••• from L•• F•••••••• L••Jan 16, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J••••• E••••• · Chief Compliance Officercontrolsince 08/2005 · owns less than 5%
- H••••••• J••••• E••••• · Presidentcontrolsince 09/2006 · owns 75% or more of H•••••• C•••••• A•••••••• I•••
- M••••••• B••••• · Ownercontrolsince 12/2013 · owns 25% to 50% of S•• F••••••••• L••
- M••••••• J••••• S• · Ownercontrolsince 12/2013 · owns 25% to 50% of S•• F••••••••• L••
- M••••••• R••••• · Ownercontrolsince 12/2013 · owns 25% to 50% of S•• F••••••••• L••
- M•••••••• W•••••• C•••• · Ownersince 12/2013 · owns F of S•• F••••••••• L••
Entity owners
- H•••••• C•••••• A•••••••• I••• · Ownerdirect · owns 50% to 75%
- S•• F••••••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- D••••• P••••• P••insurancen
- H•••••• C•••••• A•••••••• I•••insurancen
- S••••••••• A•••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Calhoun, Ga · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rome, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 236 to 233Mar 14, 2025 to Mar 18, 2026
- HNW clients · 55 to 54Mar 14, 2025 to Mar 18, 2026
- Individual clients · 56 to 54Mar 14, 2025 to Mar 18, 2026
- Discretionary RAUM · $133M to $152MMar 14, 2025 to Mar 18, 2026
- HNW RAUM · $97.7M to $110MMar 14, 2025 to Mar 18, 2026
- Individual RAUM · $18.0M to $20.3MMar 14, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $5.9M to $6.8MMar 14, 2025 to Mar 18, 2026
- Pension RAUM · $23.4M to $28.0MMar 14, 2025 to Mar 18, 2026
- RAUM · $139M to $159MMar 14, 2025 to Mar 18, 2026
- Accounts · 230 to 236Mar 14, 2024 to Mar 14, 2025
- HNW clients · 54 to 55Mar 14, 2024 to Mar 14, 2025
- Individual clients · 54 to 56Mar 14, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 14, 2025
- Discretionary RAUM · $121M to $133MMar 14, 2024 to Mar 14, 2025
- HNW RAUM · $91.6M to $97.7MMar 14, 2024 to Mar 14, 2025
- Individual RAUM · $16.1M to $18.0MMar 14, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $5.2M to $5.9MMar 14, 2024 to Mar 14, 2025
- Pension RAUM · $19.0M to $23.4MMar 14, 2024 to Mar 14, 2025
- RAUM · $127M to $139MMar 14, 2024 to Mar 14, 2025
- Accounts · 225 to 230Mar 17, 2023 to Mar 14, 2024
- HNW clients · 50 to 54Mar 17, 2023 to Mar 14, 2024
- Individual clients · 56 to 54Mar 17, 2023 to Mar 14, 2024
- Pension plan clients · 5 to 6Mar 17, 2023 to Mar 14, 2024
- Discretionary RAUM · $110M to $121MMar 17, 2023 to Mar 14, 2024
- HNW RAUM · $78.5M to $91.6MMar 17, 2023 to Mar 14, 2024
- Individual RAUM · $16.7M to $16.1MMar 17, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $3.6M to $5.2MMar 17, 2023 to Mar 14, 2024
- Pension RAUM · $18.2M to $19.0MMar 17, 2023 to Mar 14, 2024
- RAUM · $113M to $127MMar 17, 2023 to Mar 14, 2024
- Accounts · 210 to 225Mar 2, 2022 to Mar 17, 2023
- HNW clients · 49 to 50Mar 2, 2022 to Mar 17, 2023
- Individual clients · 55 to 56Mar 2, 2022 to Mar 17, 2023
- Discretionary RAUM · $126M to $110MMar 2, 2022 to Mar 17, 2023
- HNW RAUM · $87.9M to $78.5MMar 2, 2022 to Mar 17, 2023
- Individual RAUM · $19.1M to $16.7MMar 2, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $4.0M to $3.6MMar 2, 2022 to Mar 17, 2023
- Pension RAUM · $22.8M to $18.2MMar 2, 2022 to Mar 17, 2023
- RAUM · $130M to $113MMar 2, 2022 to Mar 17, 2023
- Discretionary RAUM · $105M to $126MFeb 28, 2022 to Mar 2, 2022
- HNW RAUM · $71.7M to $87.9MFeb 28, 2022 to Mar 2, 2022
Signals
1 dated events
- S••••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 5, 2018 · 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 email
- w••••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 706-624-4080reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 706 624 4080reportedpublic record, Form ADV, Mar 18, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $26.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026