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.

Former SEC-registered adviser

Wealth Enhancement & Preservation

Former SEC-registered adviserAlpharetta, GeorgiaCRD 172788SEC 801-115264IAPD
Legal name Wealth Enhancement & Preservation Of Ga, LLC
Latest filing May 30, 2023
First filing on the tape Apr 10, 2019 · 20 filings
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$185M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$185M as of Mar 30, 2023
Apr 23, 2020$132M then
HNW client RAUM$140M as of Mar 30, 2023
Apr 23, 2020$95.0M then
State-registered IARs (5.B.3)6 as of Mar 30, 2023
Apr 23, 20206 then
Employees (5.A)15 as of Mar 30, 2023
Apr 23, 202013 then
Private funds: no history
RAUM -10% over the last fiscal year+12% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 30, 2023; every figure names its basis
RAUM per advisor
$30.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
94derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$466,667derivedHNW RAUM over HNW clients
Average account
$135,234derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived3 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
+3.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$185MreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$140M76%
  • Individuals$45.0M24%
Individual clients
262reported
HNW clients
300reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,368reported
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
Left, latest
Joined, latest
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
    • Stuart Darrin Cohen · Ceo, Chief Compliance Officercontrol
      since 09/2014 · owns less than 5%
    • Coker Helen Berenyi · Member/Manager Of Red Triangle, LLCcontrol
      since 06/2008 · owns 75% or more of Red Triangle, LLC
    • Stuart Darrin Cohen · Stockholder Of Darco Financial Services, Inc.control
      since 12/2016 · owns 75% or more of Darco Financial Services, Inc.
    • Kelly Jacob Sanders · Member
      since 01/2019 · owns 10% to 25%
    • Wayne Joseph Thompson · Member
      since 03/2023 · owns 5% to 10%
    • Brannon Cody Moore · Managing Member
      since 03/2013 · owns 75% or more of Bcm Capital LLC
    Entity owners
    • Darco Financial Services, Inc. · Member
      direct · owns 50% to 75%
    • Bcm Capital LLC · Member
      direct · owns 5% to 10%
    • Red Triangle, LLC · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Alpharetta, Ga · principal000
    Mt Pleasant, Sc000
    Offices
    Schedule D 1.F, the 25 largest
    • Mt. Pleasant, SC2 employees
    • Cartersville, GA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,270 to 1,368
      Jan 5, 2023 to Mar 30, 2023
    • HNW clients · 291 to 300
      Jan 5, 2023 to Mar 30, 2023
    • Individual clients · 253 to 262
      Jan 5, 2023 to Mar 30, 2023
    • Discretionary RAUM · $206M to $185M
      Jan 5, 2023 to Mar 30, 2023
    • HNW RAUM · $154M to $140M
      Jan 5, 2023 to Mar 30, 2023
    • Individual RAUM · $52.0M to $45.0M
      Jan 5, 2023 to Mar 30, 2023
    • RAUM · $206M to $185M
      Jan 5, 2023 to Mar 30, 2023
    • Accounts · 1,025 to 1,270
      Dec 3, 2021 to Mar 29, 2022
    • HNW clients · 278 to 291
      Dec 3, 2021 to Mar 29, 2022
    • Individual clients · 242 to 253
      Dec 3, 2021 to Mar 29, 2022
    • Employees · 13 to 15
      Dec 3, 2021 to Mar 29, 2022
    • Discretionary RAUM · $160M to $206M
      Dec 3, 2021 to Mar 29, 2022
    • HNW RAUM · $118M to $154M
      Dec 3, 2021 to Mar 29, 2022
    • Individual RAUM · $42.0M to $52.0M
      Dec 3, 2021 to Mar 29, 2022
    • RAUM · $160M to $206M
      Dec 3, 2021 to Mar 29, 2022
    • Accounts · 847 to 1,025
      Oct 26, 2020 to Feb 19, 2021
    • BD registered reps · 5 to 4
      Oct 26, 2020 to Feb 19, 2021
    • HNW clients · 270 to 278
      Oct 26, 2020 to Feb 19, 2021
    • Individual clients · 235 to 242
      Oct 26, 2020 to Feb 19, 2021
    • Discretionary RAUM · $132M to $160M
      Oct 26, 2020 to Feb 19, 2021
    • HNW RAUM · $95.0M to $118M
      Oct 26, 2020 to Feb 19, 2021
    • Individual RAUM · $37.0M to $42.0M
      Oct 26, 2020 to Feb 19, 2021
    • RAUM · $132M to $160M
      Oct 26, 2020 to Feb 19, 2021
    • Other offices · 1 to 2
      Apr 27, 2020 to Jun 4, 2020
    • Business name · INFINITE ASSET MANAGEMENT to WEALTH ENHANCEMENT & PRESERVATION
      Apr 23, 2020 to Apr 27, 2020
    • Accounts · 479 to 847
      Dec 20, 2019 to Apr 23, 2020
    • HNW clients · 250 to 270
      Dec 20, 2019 to Apr 23, 2020
    • Individual clients · 229 to 235
      Dec 20, 2019 to Apr 23, 2020
    • Discretionary RAUM · $107M to $132M
      Dec 20, 2019 to Apr 23, 2020
    • HNW RAUM · $75.0M to $95.0M
      Dec 20, 2019 to Apr 23, 2020
    • Individual RAUM · $32.0M to $37.0M
      Dec 20, 2019 to Apr 23, 2020
    • RAUM · $107M to $132M
      Dec 20, 2019 to Apr 23, 2020
    • Other offices · 2 to 1
      Jul 6, 2019 to Dec 20, 2019
    Signals
    12 dated events
    • Cody Brannon Moore left Wealth Enhancement & Preservation for Lpl Financial Llc (registered 2023-08-21)
      Oct 17, 2023 · Advisor changed firm · fact
    • Joseph Wayne Thompson left Wealth Enhancement & Preservation for Lpl Financial Llc (registered 2023-08-21)
      Oct 17, 2023 · Advisor changed firm · fact
    • Darrin Stuart Cohen left Wealth Enhancement & Preservation for Red Triangle, Llc (registered 2016-03-31)
      Oct 17, 2023 · Advisor changed firm · fact
    • Helen Coker Cox left Wealth Enhancement & Preservation for Red Triangle, Llc (registered 2024-12-17)
      Oct 17, 2023 · Advisor changed firm · fact
    • Jacob Kelly Sanders left Wealth Enhancement & Preservation for Lpl Financial Llc (registered 2023-08-21)
      Oct 17, 2023 · Advisor changed firm · fact
    • Armand Patrick Glassman left Wealth Enhancement & Preservation for Lpl Financial Llc (registered 2023-08-28)
      Oct 17, 2023 · Advisor changed firm · fact
    • Wealth Enhancement & Preservation's advisors moved to LPL Financial LLC (Alpharetta, GA): 4 of 6 registered, on the same day
      Oct 17, 2023 · Firm absorbed (people side) · derived
    • Patrick Armand Glassman (Member Of Fifth Quarter Group, Llc) no longer on Schedule A of Wealth Enhancement & Preservation (listed 2023-01-05, absent 2023-03-30)
      Mar 30, 2023 · Control person left · inference
    • Langford Cindy Glassman (Member Of Fifth Quarter Group, Llc) no longer on Schedule A of Wealth Enhancement & Preservation (listed 2023-01-05, absent 2023-03-30)
      Mar 30, 2023 · Control person left · inference
    • Stanley Thomas Martin (Stockholder Of Martin & Gredys, Inc.) no longer on Schedule A of Wealth Enhancement & Preservation (listed 2020-10-24, absent 2020-10-26)
      Oct 26, 2020 · Control person left · inference
    • Gredys Laura Martin (Stockholder Of Martin & Gredys, Inc.) no longer on Schedule A of Wealth Enhancement & Preservation (listed 2020-10-24, absent 2020-10-26)
      Oct 26, 2020 · Control person left · inference
    • Infinite Asset Management filed its initial SEC registration (Form ADV)
      Apr 10, 2019 · 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