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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A•••••• C•••••• I••••••••• L••

Former SEC-registered adviserA••••••, GeorgiaCRD 168607SEC 801-78381IAPD
Latest filing Feb 22, 2018
First filing on the tape Jul 23, 2013 · 7 filings
RAUM
$4.4M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$4.4M gross assets
History
7 filings and snapshots on the tape
RAUM$4.4M as of Feb 22, 2018
Mar 27, 2014$2.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 22, 2018
Mar 27, 20143 then
Employees (5.A)4 as of Feb 22, 2018
Mar 27, 20144 then
Private funds1 as of Feb 22, 2018
Mar 27, 20141 then
RAUM +17% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 22, 2018; 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
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%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, 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
  • 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
  • Pooled investment vehicles$4.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
T•• A•••••• F•••Other Private Fund$4.4M12Jul 23, 2013
Owners and control persons
Schedule A and B, latest filing
  • F•••• W••••••• P•••••• · Ccocontrol
    since 11/2013 · owns 25% to 50%
  • H•••• S•••••• R••• · Membercontrol
    since 07/2013 · owns 25% to 50%
  • M••••••• E•••••• F•••••• · Membercontrol
    since 07/2013 · owns 25% to 50%
  • R•••••• J•••• P••••• · Managing Membercontrol
    since 07/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Pooled vehicle clients · unset to 1.0
    Jul 3, 2017 to Feb 22, 2018
  • Other offices · unset to 0.0
    Jul 3, 2017 to Feb 22, 2018
  • Discretionary RAUM · $3.7M to $4.4M
    Jul 3, 2017 to Feb 22, 2018
  • Pooled vehicle RAUM · unset to 4354856.0
    Jul 3, 2017 to Feb 22, 2018
  • RAUM · $3.7M to $4.4M
    Jul 3, 2017 to Feb 22, 2018
  • Assets in custody · 3732143.0 to unset
    Mar 13, 2017 to Jul 3, 2017
  • Custody of client assets · true to false
    Mar 13, 2017 to Jul 3, 2017
  • Assets in custody · $3.3M to $3.7M
    Mar 25, 2016 to Mar 13, 2017
  • Discretionary RAUM · $3.3M to $3.7M
    Mar 25, 2016 to Mar 13, 2017
  • RAUM · $3.3M to $3.7M
    Mar 25, 2016 to Mar 13, 2017
  • Assets in custody · unset to 3316904.0
    Mar 9, 2015 to Mar 25, 2016
  • Custody of client assets · false to true
    Mar 9, 2015 to Mar 25, 2016
  • Discretionary RAUM · $3.0M to $3.3M
    Mar 9, 2015 to Mar 25, 2016
  • RAUM · $3.0M to $3.3M
    Mar 9, 2015 to Mar 25, 2016
  • Financial planning clients · 0 to unset
    Mar 27, 2014 to Mar 9, 2015
  • Discretionary RAUM · $2.0M to $3.0M
    Mar 27, 2014 to Mar 9, 2015
  • RAUM · $2.0M to $3.0M
    Mar 27, 2014 to Mar 9, 2015
  • Accounts · 0 to 1
    Jul 23, 2013 to Mar 27, 2014
  • Advisory employees · 2 to 3
    Jul 23, 2013 to Mar 27, 2014
  • Employees · 3 to 4
    Jul 23, 2013 to Mar 27, 2014
  • Insurance-licensed employees · 2 to 3
    Jul 23, 2013 to Mar 27, 2014
  • Financial planning clients · unset to 0
    Jul 23, 2013 to Mar 27, 2014
  • State-registered IARs · 2 to 3
    Jul 23, 2013 to Mar 27, 2014
  • Discretionary RAUM · $0 to $2.0M
    Jul 23, 2013 to Mar 27, 2014
  • RAUM · $0 to $2.0M
    Jul 23, 2013 to Mar 27, 2014
Signals
1 dated events
  • A•••••• C•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 23, 2013 · 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.
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