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

C••••••••• W••••• M••••••••• I••

Former SEC-registered adviserAtlanta, GeorgiaCRD 169169SEC 801-78640IAPD
Latest filing Mar 4, 2023
First filing on the tape Sep 25, 2013 · 17 filings
RAUM
$275M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$265M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$275M as of Mar 4, 2023
Jan 7, 2014$127M then
HNW client RAUM$236M as of Mar 4, 2023
Mar 28, 2018$9.3M then
State-registered IARs (5.B.3)1 as of Mar 4, 2023
Jan 7, 20142 then
Employees (5.A)3 as of Mar 4, 2023
Jan 7, 20142 then
Private funds: no history
RAUM -7.3% over the last fiscal year+6.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 4, 2023; every figure names its basis
RAUM per advisor
$275MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
207derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.0%derived
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
Wrap fee program
$255MreportedItem 5.I
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
  • High-net-worth individuals$236M86%
  • Individuals$28.9M11%
  • Pension and profit-sharing plans$10.3M3.7%
  • Charitable organizations$184,0000.1%
Individual clients
82reported
HNW clients
125reported
Pension plan clients
8reported
Charitable clients
3reported
Accounts
217reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• J••••• P•••••• · President & Chief Compliance Officercontrol
    since 10/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Atlanta, Ga · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 215 to 217
    Feb 28, 2022 to Mar 4, 2023
  • Charity clients · 1 to 3
    Feb 28, 2022 to Mar 4, 2023
  • HNW clients · 120 to 125
    Feb 28, 2022 to Mar 4, 2023
  • Individual clients · 85 to 82
    Feb 28, 2022 to Mar 4, 2023
  • Pension plan clients · 9 to 8
    Feb 28, 2022 to Mar 4, 2023
  • Discretionary RAUM · $297M to $275M
    Feb 28, 2022 to Mar 4, 2023
  • HNW RAUM · $254M to $236M
    Feb 28, 2022 to Mar 4, 2023
  • Individual RAUM · $31.1M to $28.9M
    Feb 28, 2022 to Mar 4, 2023
  • Pension RAUM · $11.9M to $10.3M
    Feb 28, 2022 to Mar 4, 2023
  • RAUM · $297M to $275M
    Feb 28, 2022 to Mar 4, 2023
  • Accounts · 189 to 215
    Mar 5, 2021 to Feb 28, 2022
  • Charity clients · unset to 1.0
    Mar 5, 2021 to Feb 28, 2022
  • Corporate clients · unset to 0.0
    Mar 5, 2021 to Feb 28, 2022
  • HNW clients · 116 to 120
    Mar 5, 2021 to Feb 28, 2022
  • Individual clients · 58 to 85
    Mar 5, 2021 to Feb 28, 2022
  • Pension plan clients · 15 to 9
    Mar 5, 2021 to Feb 28, 2022
  • Pooled vehicle clients · unset to 0.0
    Mar 5, 2021 to Feb 28, 2022
  • Discretionary RAUM · $255M to $297M
    Mar 5, 2021 to Feb 28, 2022
  • HNW RAUM · $217M to $254M
    Mar 5, 2021 to Feb 28, 2022
  • Individual RAUM · $22.3M to $31.1M
    Mar 5, 2021 to Feb 28, 2022
  • Pension RAUM · $16.4M to $11.9M
    Mar 5, 2021 to Feb 28, 2022
  • Pooled vehicle RAUM · unset to 0.0
    Mar 5, 2021 to Feb 28, 2022
  • RAUM · $255M to $297M
    Mar 5, 2021 to Feb 28, 2022
  • Accounts · 195 to 189
    Jun 17, 2020 to Mar 5, 2021
  • HNW clients · 106 to 116
    Jun 17, 2020 to Mar 5, 2021
  • Individual clients · 61 to 58
    Jun 17, 2020 to Mar 5, 2021
  • Pension plan clients · 28 to 15
    Jun 17, 2020 to Mar 5, 2021
  • Discretionary RAUM · $229M to $255M
    Jun 17, 2020 to Mar 5, 2021
  • HNW RAUM · $182M to $217M
    Jun 17, 2020 to Mar 5, 2021
  • Individual RAUM · $29.1M to $22.3M
    Jun 17, 2020 to Mar 5, 2021
  • Pension RAUM · $17.7M to $16.4M
    Jun 17, 2020 to Mar 5, 2021
  • RAUM · $229M to $255M
    Jun 17, 2020 to Mar 5, 2021
  • Accounts · 187 to 195
    Dec 18, 2019 to Mar 2, 2020
  • HNW clients · 83 to 106
    Dec 18, 2019 to Mar 2, 2020
  • Individual clients · 78 to 61
    Dec 18, 2019 to Mar 2, 2020
  • Pension plan clients · 26 to 28
    Dec 18, 2019 to Mar 2, 2020
  • Discretionary RAUM · $187M to $229M
    Dec 18, 2019 to Mar 2, 2020
  • HNW RAUM · $147M to $182M
    Dec 18, 2019 to Mar 2, 2020
  • Individual RAUM · $22.8M to $29.1M
    Dec 18, 2019 to Mar 2, 2020
  • Pension RAUM · $17.1M to $17.7M
    Dec 18, 2019 to Mar 2, 2020
Signals
2 dated events
  • J•••• P•••••• B•••• left C••••••••• W••••• M••••••••• I•• for M•••• F•••••••• A••••••• (registered 2023-12-01)
    Dec 4, 2023 · Advisor changed firm · fact
  • C••••••••• W••••• M••••••••• I•• filed its initial SEC registration (Form ADV)
    Sep 25, 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