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
F•••••••• L••
Latest filing Nov 20, 2015
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$31.0M
reported, Item 5.F
Discretionary
0.0%
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
82
38 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$31.0M as of Mar 31, 2015
Mar 30, 2012$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)16 as of Mar 31, 2015
Mar 30, 20120 then
Employees (5.A)82 as of Mar 31, 2015
Mar 26, 201372 then
Private funds: no history
RAUM -10% over the last fiscal year-34% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Nov 20, 2015; every figure names its basis
- RAUM per advisor
- $1.9MderivedRAUM 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
- $191,167derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.1derivedItem 5.A over advisors
- Advisors per office
- 2.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
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
- 162reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D••••• L•• W•••• to I••••••••• C•••••• O• A••••••• I•••Dec 31, 2015 · Other
- J•••• A••• F••••••• D••••• to E••••• J••••Sep 11, 2015 · Other
- A•••• J•••• M••••••• to E••••• J••••Sep 11, 2015 · Other
- A••••• M••••••• to B•••••••• L••Sep 11, 2015 · Other
- M•••••• R•••• H••••••••• to A••••••• A••••••• S•••••••Sep 11, 2015 · Other
- G•••••• E••• B•••••• to S••••••••• A•••••• A•••••••• I•••Sep 10, 2015 · Other
- D•••••• L••••••• B•••• to G••••••• W••••• M•••••••••Sep 10, 2015 · Other
- B•••• S•••• J••••• to S••••••••• A•••••• A•••••••• I•••Sep 10, 2015 · Other
- R••••• J•••• F••••••• to S•••••••• F••••••••• I•••Sep 10, 2015 · Other
- M••• A••• T••••••••• to A••••••• F•••••••• A•••••••• L••Aug 28, 2015 · Other
- J•••• M•••• P••••••••• to S•••••••• F••••••••• I•••Aug 28, 2015 · Other
- J••••• C••• S•••••• to S•••••••• F••••••••• I•••Aug 19, 2015 · Other
- L•• M•••••• T•••• to F•••• M•••••• I•••••••••Aug 18, 2015 · Other
- S•••• A••• S•••••••• to F••••••• S••••••••• I•••Aug 14, 2015 · Other
- M••• S••••• W••••••• to W•••••• • R•••Aug 14, 2015 · Other
Joined, latest
- D••••• G••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 11, 2015 · Other
- L••• D•••••• B••• from A••••••••• F•••••••• S•••••••• L••May 7, 2015 · Other
- M•••••• D••••• R••••• from P•• W••••• M•••••••••Apr 27, 2015 · Other
- A•••• J•••• M••••••• from B••••••• I••••••••• S•••••••• I••• •••••Apr 13, 2015 · Other
- L•• M•••••• T•••• from C••••••• • C••• I•••Nov 10, 2014 · Other
- B•••• E••••• M•••• from F•••• C•••••• F•••••••• P•••••••• I•••Oct 1, 2014 · Other
- D••••••• M•••• W•••••••• from E••••• J••••Sep 18, 2014 · Other
- J••••• C••• S•••••• from Q•••••• A•••• M••••••••• I•••May 29, 2014 · Other
- R•••••• M•••••• M••••• from C••••• C••••••• L••Mar 28, 2014 · Other
- G••• J•••• O•• from P•••• S••••••••• L••Mar 20, 2014 · Other
- B•••••• G• B••••• from P•• W••••• M•••••••••Mar 10, 2014 · Other
- J•••• A••• F••••••• D••••• from L•• F•••••••• L••Jan 3, 2014 · Other
- M•••••• G• B••••••••• from I••••••••• C•••••• O• A••••••• I•••Nov 18, 2013 · Other
- J•••• M•••• P••••••••• from Q•••••• A•••• M••••••••• I•••Oct 17, 2013 · Other
- A••••• M••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 3, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S•••••••• F••••••••• I•••Aug 19, 2015 · Laguna Niguel, Ca
- 13 left for S••••••••• A•••••• A•••••••• I•••Jul 22, 2015 · Roseville, Mn
- 2 left for C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 7, 2015 · Rockmart, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• J•••••• A•••• · Chief Financial Officer, Finopcontrolsince 06/2009 · owns less than 5%
- W••••• D••••• L•• · President/Ceo/Ccocontrolsince 10/2010 · owns less than 5%
- C•••••• S•••••• A•••••• · Board Of Directorssince 08/2010 · owns less than 5%
- C•••••• D••••• · Board Of Directorssince 11/2009 · owns less than 5%
- S••••••• D•••••• G••• · Board Of Directorssince 10/2012 · owns less than 5%
- W•••••• K•••••• J••• · Board Of Directorssince 08/2010 · owns less than 5%
Entity owners
- F••••••• H•••••••• L•• · Shareholdersdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• L••broker-dealerinvestment adviserreal estatenRAUM $31.0M
Advisers that list F•••••••• L•• as a related person
- 16741 n
Offices
Schedule D 1.F, the 25 largest
- Cedartown, GA
- Rapid C•••, SD
- Soquel, CA
- Winona, MN
- ,
What changed
consecutive filings, newest first
- Business name · F••••••• F•••••••• S•••••••• to F•••••••• L••Mar 31, 2015 to Nov 20, 2015
- Accounts · 194 to 162Mar 17, 2015 to Mar 31, 2015
- Advisory employees · 39 to 38Mar 17, 2015 to Mar 31, 2015
- BD registered reps · 79 to 82Mar 17, 2015 to Mar 31, 2015
- Employees · 79 to 82Mar 17, 2015 to Mar 31, 2015
- Non-discretionary RAUM · $34.5M to $31.0MMar 17, 2015 to Mar 31, 2015
- RAUM · $34.5M to $31.0MMar 17, 2015 to Mar 31, 2015
- Accounts · 478 to 194Jan 13, 2014 to Mar 28, 2014
- Advisory employees · 30 to 39Jan 13, 2014 to Mar 28, 2014
- BD registered reps · 72 to 79Jan 13, 2014 to Mar 28, 2014
- Employees · 72 to 79Jan 13, 2014 to Mar 28, 2014
- State-registered IARs · 45 to 16Jan 13, 2014 to Mar 28, 2014
- Non-discretionary RAUM · $109M to $34.5MJan 13, 2014 to Mar 28, 2014
- RAUM · $109M to $34.5MJan 13, 2014 to Mar 28, 2014
- Accounts · 487 to 478Mar 30, 2012 to Mar 26, 2013
- Advisory employees · unset to 30.0Mar 30, 2012 to Mar 26, 2013
- BD registered reps · unset to 72.0Mar 30, 2012 to Mar 26, 2013
- Employees · unset to 72.0Mar 30, 2012 to Mar 26, 2013
- State-registered IARs · 0 to 45Mar 30, 2012 to Mar 26, 2013
- Non-discretionary RAUM · $110M to $109MMar 30, 2012 to Mar 26, 2013
- RAUM · $110M to $109MMar 30, 2012 to Mar 26, 2013
- Related adviser · false to trueMar 30, 2012 to Mar 26, 2013
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