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

H••••••••• F•••••••• S•••••••• I•••

Former SEC-registered adviserAugusta, GeorgiaCRD 167733SEC 801-129607IAPD
Latest filing Jan 31, 2024
First filing on the tape Jan 31, 2024 · 1 filings
RAUM
$1.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $1.5M
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 1
Private funds: no history
Practice profile
derived from the filing of Jan 31, 2024; every figure names its basis
RAUM per advisor
$1.5MderivedRAUM 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
$38,462derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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 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
  • Individuals$1.5M100%
Individual clients
39reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
39reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• S•••••• E• · Presidentcontrol
      since 07/2020 · owns 75% or more
    • S•••••••• J•••••• D••••• · Chief Compliance Officer
      since 01/2023 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Augusta, Ga · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    4 dated events
    • H••••••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
      Jan 31, 2024 · First SEC registration · fact
    • G••••• L•• H•••• left H••••••••• F•••••••• S•••••••• I••• for L•••••••• F•••••••• S•••••••• L•• (registered 2023-03-20)
      Dec 31, 2023 · Advisor changed firm · fact
    • J••••• D••••• S••••••• left H••••••••• F•••••••• S•••••••• I••• for L•••••••• F•••••••• S•••••••• L•• (registered 2025-04-07)
      Dec 31, 2023 · Advisor changed firm · fact
    • 2 advisors left H••••••••• F•••••••• S•••••••• I••• (Augusta, GA) for L•••••••• F•••••••• S•••••••• L•• on the same day
      Dec 31, 2023 · Team lift-out · derived
    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