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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SEC-registered adviser
C•••• I••••••••• R•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 20, 2014 · 21 filings
SEC status approved since Sep 5, 2014
RAUM
$4.2B
reported, Item 5.F
Discretionary
6.0%
of RAUM
Private clients
2.8%
$119M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$4.2B as of Mar 27, 2026
Mar 9, 2015$3.2B then
HNW client RAUM$104M as of Mar 27, 2026
Mar 2, 2018$13.7M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 9, 20152 then
Employees (5.A)5 as of Mar 27, 2026
Mar 9, 20154 then
Private funds: no history
RAUM -10% over the last fiscal year-7.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $1.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $15.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.0%derivedof RAUM
- Institutional
- 97%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +8.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- Pension and profit-sharing plans$4.1B97%
- High-net-worth individuals$104M2.5%
- Charitable organizations$21.2M0.5%
- Individuals$15.4M0.4%
- Individual clients
- 68reported
- HNW clients
- 47reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 277reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.03 fund_share=0.0 institutional_share=0.97 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• B•••• J••••••• | Alpharetta, Ga | Sep 8, 2014 | 28 y | 4 |
| T•••• A••• J••••••• | Alpharetta, Ga | Sep 10, 2015 | 12 y | 0 |
| C••• P•••••• J••••••• | Alpharetta, Ga | Oct 4, 2016 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T••• J•••• S•••••••• to L•••••• C•••••• A•••••••• I•••Feb 18, 2016 · Other
Joined, latest
- J••••• B•••• J••••••• from L•• F•••••••• L••Sep 8, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• J•••••• B•••• · Principal And Chief Compliance Officercontrolsince 08/2014 · owns 75% or more
Related persons
Schedule D 7.A
- C•••• T•• P•••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 45 to 47Mar 21, 2025 to Mar 27, 2026
- Individual clients · 61 to 68Mar 21, 2025 to Mar 27, 2026
- Pension plan clients · 23 to 17Mar 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $246M to $250MMar 21, 2025 to Mar 27, 2026
- HNW RAUM · $81.8M to $104MMar 21, 2025 to Mar 27, 2026
- Individual RAUM · $12.3M to $15.4MMar 21, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $4.4B to $3.9BMar 21, 2025 to Mar 27, 2026
- Pension RAUM · $4.5B to $4.1BMar 21, 2025 to Mar 27, 2026
- RAUM · $4.7B to $4.2BMar 21, 2025 to Mar 27, 2026
- Accounts · 260 to 277Mar 26, 2024 to Mar 21, 2025
- HNW clients · 36 to 45Mar 26, 2024 to Mar 21, 2025
- Individual clients · 52 to 61Mar 26, 2024 to Mar 21, 2025
- Pension plan clients · 26 to 23Mar 26, 2024 to Mar 21, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $222M to $246MMar 26, 2024 to Mar 21, 2025
- HNW RAUM · $65.1M to $81.8MMar 26, 2024 to Mar 21, 2025
- Individual RAUM · $12.7M to $12.3MMar 26, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $5.6B to $4.4BMar 26, 2024 to Mar 21, 2025
- Pension RAUM · $5.8B to $4.5BMar 26, 2024 to Mar 21, 2025
- RAUM · $5.8B to $4.7BMar 26, 2024 to Mar 21, 2025
- Accounts · 219 to 260Jan 17, 2024 to Mar 26, 2024
- Corporate clients · 0.0 to unsetJan 17, 2024 to Mar 26, 2024
- HNW clients · 29 to 36Jan 17, 2024 to Mar 26, 2024
- Individual clients · 42 to 52Jan 17, 2024 to Mar 26, 2024
- Pension plan clients · 27 to 26Jan 17, 2024 to Mar 26, 2024
- Financial planning clients · 26-50 to 51-100Jan 17, 2024 to Mar 26, 2024
- Discretionary RAUM · $172M to $222MJan 17, 2024 to Mar 26, 2024
- HNW RAUM · $37.8M to $65.1MJan 17, 2024 to Mar 26, 2024
- Individual RAUM · $7.1M to $12.7MJan 17, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $5.1B to $5.6BJan 17, 2024 to Mar 26, 2024
- Pension RAUM · $5.2B to $5.8BJan 17, 2024 to Mar 26, 2024
- RAUM · $5.2B to $5.8BJan 17, 2024 to Mar 26, 2024
- Related insurance company · false to trueJan 17, 2024 to Mar 26, 2024
- Accounts · 187 to 219Feb 16, 2022 to Mar 3, 2023
- HNW clients · 26 to 29Feb 16, 2022 to Mar 3, 2023
- Individual clients · 39 to 42Feb 16, 2022 to Mar 3, 2023
- Pension plan clients · 26 to 27Feb 16, 2022 to Mar 3, 2023
- Discretionary RAUM · $179M to $172MFeb 16, 2022 to Mar 3, 2023
- HNW RAUM · $38.0M to $37.8MFeb 16, 2022 to Mar 3, 2023
- Individual RAUM · $7.7M to $7.1MFeb 16, 2022 to Mar 3, 2023
Signals
1 dated events
- C•••• I••••••••• R•••••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 2014 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- H•••://WWW.LINKEDIN.COM/COMPANY/9402671reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 678-293-8667reportedpublic record, Form ADV, Mar 27, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026