DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R••• O•• P•••••••• L••

Asset manager (funds and pooled vehicles)Moreland, GeorgiaCRD 166341SEC 801-114860website IAPD

Latest filing Jul 31, 2026

First filing on the tape Oct 1, 2014 · 13 filings

SEC status approved since Mar 20, 2019

RAUM

$236M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$236M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$236M as of Jul 31, 2026

Mar 29, 2019$8.7M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Jul 31, 2026

Mar 29, 20192 then

Employees (5.A)5 as of Jul 31, 2026

Mar 29, 20195 then

Private funds1 as of Jul 31, 2026

Mar 29, 20191 then

RAUM +2.1% over the last fiscal year+15% a year over threeIARs 2 to 1

Practice profile

derived from the filing of Jul 31, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $236MderivedRAUM 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: $118MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +2.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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 vehicles, portfolio management for investment companiesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)
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)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$229M97%
Pooled investment vehicles$7.1M3.0%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
P••••• B•••••• T•••	Moreland, Ga	Oct 30, 2014	16 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

none on the tape

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R••• O•• C•••••• L•	Hedge Fund	$6.1M	22	Aug 7, 2018

Owners and control persons

Schedule A and B, latest filing

H••••••• M••••••• H• · Cfocontrol
since 12/2024 · owns 50% to 75%
T•••• J••••••• C•••••• · Chief Compliance Officercontrol
since 08/2023 · owns less than 5%
T•••• P•••••• B•••••• · Managing Membercontrol
since 12/2012 · owns 75% or more

Related persons

Schedule D 7.A

R••• O•• C••••••• L•
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Jul 31, 2026
custody of client assets (Item 9.A): yes on the filing of 2026-03-12, no on the filing of 2026-07-31
peers: asset managers, $100M to $500M (1,568)

How anomalies are measured

What changed

consecutive filings, newest first

BD registered reps · 1 to 0
Mar 12, 2026 to Jul 31, 2026
Assets in custody · 236194041.0 to unset
Mar 12, 2026 to Jul 31, 2026
Custody of client assets · true to false
Mar 12, 2026 to Jul 31, 2026
Employees · 6 to 5
Mar 12, 2026 to Jul 31, 2026
State-registered IARs · 2 to 1
Mar 12, 2026 to Jul 31, 2026
Assets in custody · $231M to $236M
Mar 3, 2025 to Mar 12, 2026
Discretionary RAUM · $231M to $236M
Mar 3, 2025 to Mar 12, 2026
Pooled vehicle RAUM · $6.9M to $7.1M
Mar 3, 2025 to Mar 12, 2026
RAUM · $231M to $236M
Mar 3, 2025 to Mar 12, 2026
Assets in custody · $186M to $231M
Mar 22, 2024 to Mar 3, 2025
Financial planning clients · unset to
Mar 22, 2024 to Mar 3, 2025
HQ city · unset to MORELAND
Mar 22, 2024 to Mar 3, 2025
HQ state · unset to GA
Mar 22, 2024 to Mar 3, 2025
Discretionary RAUM · $186M to $231M
Mar 22, 2024 to Mar 3, 2025
Pooled vehicle RAUM · $6.1M to $6.9M
Mar 22, 2024 to Mar 3, 2025
RAUM · $186M to $231M
Mar 22, 2024 to Mar 3, 2025
Advisory employees · 1 to 4
Mar 14, 2023 to Mar 22, 2024
Assets in custody · $6.0M to $186M
Mar 14, 2023 to Mar 22, 2024
State-registered IARs · 1 to 2
Mar 14, 2023 to Mar 22, 2024
Discretionary RAUM · $155M to $186M
Mar 14, 2023 to Mar 22, 2024
Pooled vehicle RAUM · $6.0M to $6.1M
Mar 14, 2023 to Mar 22, 2024
RAUM · $155M to $186M
Mar 14, 2023 to Mar 22, 2024
Assets in custody · $7.8M to $6.0M
Mar 11, 2022 to Mar 14, 2023
Discretionary RAUM · $164M to $155M
Mar 11, 2022 to Mar 14, 2023
Pooled vehicle RAUM · $7.8M to $6.0M
Mar 11, 2022 to Mar 14, 2023
RAUM · $164M to $155M
Mar 11, 2022 to Mar 14, 2023
Assets in custody · $6.6M to $7.8M
Mar 29, 2021 to Mar 11, 2022
Discretionary RAUM · $114M to $164M
Mar 29, 2021 to Mar 11, 2022
Pooled vehicle RAUM · $6.6M to $7.8M
Mar 29, 2021 to Mar 11, 2022
RAUM · $114M to $164M
Mar 29, 2021 to Mar 11, 2022
Accounts · 4 to 2
Mar 24, 2020 to Mar 29, 2021
Advisory activities · 3 to 2
Mar 24, 2020 to Mar 29, 2021
Individual clients · 2.0 to unset
Mar 24, 2020 to Mar 29, 2021
Assets in custody · $5.6M to $6.6M
Mar 24, 2020 to Mar 29, 2021
Discretionary RAUM · $71.2M to $114M
Mar 24, 2020 to Mar 29, 2021
Individual RAUM · $442,433 to $0
Mar 24, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $5.6M to $6.6M
Mar 24, 2020 to Mar 29, 2021
RAUM · $71.2M to $114M
Mar 24, 2020 to Mar 29, 2021
Accounts · 10 to 4
Mar 29, 2019 to Mar 24, 2020
Advisory employees · 2 to 1
Mar 29, 2019 to Mar 24, 2020

Signals

5 dated events

Clinton Jeffrey Town (Chief Compliance Officer) appeared on Schedule A of R••• O•• P•••••••• L••
Mar 22, 2024 · Control person joined · fact
H Melissa Hoffler (Cfo) appeared on Schedule A of R••• O•• P•••••••• L••
Mar 22, 2024 · Control person joined · fact
Scott Andrew Hariton (Chief Compliance Officer) no longer on Schedule A of R••• O•• P•••••••• L•• (listed 2023-03-14, absent 2024-03-22)
Mar 22, 2024 · Control person left · inference
Scott Andrew Hariton (Chief Compliance Officer) appeared on Schedule A of R••• O•• P•••••••• L••
Feb 18, 2019 · Control person joined · fact
R••• O•• P•••••••• L•• filed its initial SEC registration (Form ADV)
Aug 7, 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

Website: r•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (855) 687-7853reportedpublic record, Form ADV, Jul 31, 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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: $236Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026