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

P••••• F••• M••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 167943SEC 801-78330websiteIAPD
Latest filing Mar 15, 2024
First filing on the tape Jul 3, 2013 · 19 filings
SEC status approved since Jul 19, 2013
RAUM
$352M
reported, Item 5.F
Discretionary
100%
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$352M gross assets
History
19 filings and snapshots on the tape
RAUM$352M as of Mar 15, 2024
Mar 31, 2014$100M then
HNW client RAUM$4.9M as of Mar 28, 2019
Mar 31, 2018$5.3M then
State-registered IARs (5.B.3)0 as of Mar 15, 2024
Mar 31, 20140 then
Employees (5.A)6 as of Mar 15, 2024
Mar 31, 20145 then
Private funds4 as of Mar 15, 2024
Mar 31, 20141 then
RAUM +7.3% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$88.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.3%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$352M, 4 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$352M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$352M for 4 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• C•••••• I••••••••• I•• L•Other Private Fund$234M98Mar 28, 2019
      P••••• F••• L•Hedge Fund$81.5M59Jul 3, 2013
      P••••• C•••••• I••••••••• I•• L•Other Private Fund$19.2M33Mar 15, 2024
      P••••• C•••••• I••••••••• I••• L•Other Private Fund$17.6M64Mar 15, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• R•••• J• · Managing Membercontrol
        since 02/2007 · owns 25% to 50%
      • G•••••• S••••••• T••••• · Manager & Membercontrol
        since 11/2005 · owns 75% or more of G••••• & Co., LLC
      • K•••• L•••• T•••••• · Chief Compliance Officer
        since 01/2021 · owns less than 5%
      • R••••••••• B•••••••• L•• · Member
        since 01/2014 · owns 5% to 10%
      • W••••••• D••••• K••• · Member
        since 12/2005 · owns 10% to 25%
      Entity owners
      • G••••• • C•• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • P••••• C•••••• M••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Dec 13, 2023 to Mar 15, 2024
      • Pooled vehicle clients · 2 to 4
        Dec 13, 2023 to Mar 15, 2024
      • Assets in custody · $324M to $352M
        Dec 13, 2023 to Mar 15, 2024
      • Private funds · 2 to 4
        Dec 13, 2023 to Mar 15, 2024
      • Discretionary RAUM · $328M to $352M
        Dec 13, 2023 to Mar 15, 2024
      • Pooled vehicle RAUM · $328M to $352M
        Dec 13, 2023 to Mar 15, 2024
      • RAUM · $328M to $352M
        Dec 13, 2023 to Mar 15, 2024
      • Advisory employees · 4 to 5
        Mar 10, 2022 to Feb 20, 2023
      • Assets in custody · $345M to $324M
        Mar 10, 2022 to Feb 20, 2023
      • Employees · 5 to 6
        Mar 10, 2022 to Feb 20, 2023
      • Discretionary RAUM · $335M to $328M
        Mar 10, 2022 to Feb 20, 2023
      • Pooled vehicle RAUM · $335M to $328M
        Mar 10, 2022 to Feb 20, 2023
      • RAUM · $335M to $328M
        Mar 10, 2022 to Feb 20, 2023
      • Advisory employees · 3 to 4
        Aug 11, 2021 to Mar 10, 2022
      • Assets in custody · $228M to $345M
        Aug 11, 2021 to Mar 10, 2022
      • Employees · 4 to 5
        Aug 11, 2021 to Mar 10, 2022
      • Discretionary RAUM · $228M to $335M
        Aug 11, 2021 to Mar 10, 2022
      • Pooled vehicle RAUM · $228M to $335M
        Aug 11, 2021 to Mar 10, 2022
      • RAUM · $228M to $335M
        Aug 11, 2021 to Mar 10, 2022
      • Accounts · 176 to 2
        Jan 23, 2021 to Mar 30, 2021
      • Advisory employees · 4 to 3
        Jan 23, 2021 to Mar 30, 2021
      • Assets in custody · $205M to $228M
        Jan 23, 2021 to Mar 30, 2021
      • Employees · 6 to 4
        Jan 23, 2021 to Mar 30, 2021
      • Discretionary RAUM · $222M to $228M
        Jan 23, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $222M to $228M
        Jan 23, 2021 to Mar 30, 2021
      • RAUM · $222M to $228M
        Jan 23, 2021 to Mar 30, 2021
      • Accounts · 191 to 176
        May 3, 2019 to Mar 16, 2020
      • Advisory employees · 3 to 4
        May 3, 2019 to Mar 16, 2020
      • Advisory activities · 2 to 1
        May 3, 2019 to Mar 16, 2020
      • Assets in custody · $197M to $205M
        May 3, 2019 to Mar 16, 2020
      • Employees · 5 to 6
        May 3, 2019 to Mar 16, 2020
      • Other offices · 1 to 0
        May 3, 2019 to Mar 16, 2020
      • Discretionary RAUM · $211M to $222M
        May 3, 2019 to Mar 16, 2020
      • HNW RAUM · 4918933.0 to unset
        May 3, 2019 to Mar 16, 2020
      • Pooled vehicle RAUM · $206M to $222M
        May 3, 2019 to Mar 16, 2020
      • RAUM · $211M to $222M
        May 3, 2019 to Mar 16, 2020
      • Discretionary RAUM · $202M to $211M
        Mar 28, 2019 to May 3, 2019
      • Pooled vehicle RAUM · $197M to $206M
        Mar 28, 2019 to May 3, 2019
      • RAUM · $202M to $211M
        Mar 28, 2019 to May 3, 2019
      • Accounts · 2 to 191
        Mar 31, 2018 to Mar 28, 2019
      Signals
      6 dated events
      • P••••• F••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $352.1M)
        Mar 6, 2025 · Left the SEC roster · derived
      • P••••• F••• M••••••••• L•• reported RAUM $334.6M, up 47% from $227.9M (2021-08-11 to 2022-03-10)
        Mar 10, 2022 · RAUM change · derived
      • Edward Paul Bottinelli (Cfo/Cco) no longer on Schedule A of P••••• F••• M••••••••• L•• (listed 2021-03-30, absent 2021-08-11)
        Aug 11, 2021 · Control person left · inference
      • Melissa Pittman (Chief Compliance Officer) no longer on Schedule A of P••••• F••• M••••••••• L•• (listed 2018-03-31, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • Edward Paul Bottinelli (Cfo/Cco) appeared on Schedule A of P••••• F••• M••••••••• L••
        Mar 28, 2019 · Control person joined · fact
      • P••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 3, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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