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
N•••••••• C•••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 31, 2019 · 17 filings
SEC status approved since Jul 1, 2019
RAUM
$536M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
51%
$276M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
6
6 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$536M as of Mar 27, 2026
Mar 2, 2020$192M then
HNW client RAUM$217M as of Mar 27, 2026
Mar 2, 2020$112M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Mar 2, 20204 then
Employees (5.A)6 as of Mar 27, 2026
Mar 2, 20204 then
Private funds: no history
RAUM +23% over the last fiscal year+17% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $660,314derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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
- Other investment advisers$259M48%
- High-net-worth individuals$217M41%
- Individuals$58.8M11%
- Corporations and businesses$453,9510.1%
- Pension and profit-sharing plans$169,1830.0%
- Charitable organizations$101,6200.0%
- Individual clients
- 147reported
- HNW clients
- 63reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 812reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.51 fund_share=0.48 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• J••• C••••• | Atlanta, Ga | Jun 1, 2015 | 34 y | 1 |
| J••••• M•••••• S••••Chartered Financial Analyst | Atlanta, Ga | Jun 1, 2015 | 33 y | 1 |
| F•••••••• S•••• W•••••Chartered Financial Analyst | Atlanta, Ga | May 1, 2019 | 35 y | 2 |
| M••••• E•••••••• H•••••Certified Financial Planner | Atlanta, Ga | Jun 23, 2025 | 13 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 headcount1 left over 36 months
Left, latest
- T•••••• S••• B••••• to W••••• W••••• L••Jan 23, 2024 · RIA to RIA
- J••• A•••• D••••• to W••••• W••••• L••Aug 2, 2023 · RIA to RIA
- J•••••• V••••• W••••• to W••••• W••••• L••May 17, 2022 · RIA to RIA
Joined, latest
- J••• A•••• D••••• from C• A••••••• S•••••••Jan 27, 2022 · RIA to RIA
- T•••••• S••• B••••• from B••••• E•• W••••• M••••••••• L••Sep 2, 2021 · Other
- F•••••••• S•••• W••••• from C• B••••••••• P•••••• W•••••May 1, 2019 · RIA to RIA
- J•••••• V••••• W••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 6, 2018 · Wirehouse to independent RIA
- J••••• M•••••• S•••• from S••••••• A••••••• S••••••• I•••Jun 1, 2015 · Other
- A••• J••• C••••• from S••••••• A••••••• S••••••• I•••Jun 1, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••• A••••••• S••••••• I•••Nov 16, 2015 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• A•••• J••• · Principal And Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- S••••• J•••••• M•••••• · Principalcontrolsince 01/2015 · owns less than 5%
- C•••••• A•••• J••• · Partner / President / Ccocontrolsince 05/2020 · owns 50% to 75% of T•• N•••••••• G•••• L••
- S••••• J•••••• M•••••• · Partner / Secretary / Ciocontrolsince 05/2020 · owns 50% to 75% of T•• N•••••••• G•••• L••
Entity owners
- T•• N•••••••• G•••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- F••••••• W•••••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 27, 2026hourly charges (Item 5.E.2): no on the filing of 2025-06-23, yes on the filing of 2026-03-27peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 695 to 812Jun 23, 2025 to Mar 27, 2026
- Corporate clients · 3 to 2Jun 23, 2025 to Mar 27, 2026
- HNW clients · 70 to 63Jun 23, 2025 to Mar 27, 2026
- Individual clients · 131 to 147Jun 23, 2025 to Mar 27, 2026
- Pension plan clients · unset to 1.0Jun 23, 2025 to Mar 27, 2026
- Discretionary RAUM · $437M to $536MJun 23, 2025 to Mar 27, 2026
- HNW RAUM · $227M to $217MJun 23, 2025 to Mar 27, 2026
- Individual RAUM · $29.9M to $58.8MJun 23, 2025 to Mar 27, 2026
- Pension RAUM · unset to 169183.0Jun 23, 2025 to Mar 27, 2026
- RAUM · $437M to $536MJun 23, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250Mar 10, 2025 to Jun 23, 2025
- Accounts · 704 to 695Aug 13, 2024 to Mar 10, 2025
- Corporate clients · 1 to 3Aug 13, 2024 to Mar 10, 2025
- HNW clients · 67 to 70Aug 13, 2024 to Mar 10, 2025
- Individual clients · 138 to 131Aug 13, 2024 to Mar 10, 2025
- Discretionary RAUM · $384M to $437MAug 13, 2024 to Mar 10, 2025
- HNW RAUM · $214M to $227MAug 13, 2024 to Mar 10, 2025
- Individual RAUM · $41.3M to $29.9MAug 13, 2024 to Mar 10, 2025
- RAUM · $384M to $437MAug 13, 2024 to Mar 10, 2025
- Accounts · 757 to 704Feb 16, 2023 to Feb 29, 2024
- Charity clients · 2 to 1Feb 16, 2023 to Feb 29, 2024
- Corporate clients · unset to 1.0Feb 16, 2023 to Feb 29, 2024
- HNW clients · 64 to 67Feb 16, 2023 to Feb 29, 2024
- Individual clients · 180 to 138Feb 16, 2023 to Feb 29, 2024
- Discretionary RAUM · $331M to $384MFeb 16, 2023 to Feb 29, 2024
- HNW RAUM · $181M to $214MFeb 16, 2023 to Feb 29, 2024
- Individual RAUM · $40.9M to $41.3MFeb 16, 2023 to Feb 29, 2024
- RAUM · $331M to $384MFeb 16, 2023 to Feb 29, 2024
- Accounts · 684 to 757Feb 1, 2022 to Feb 16, 2023
- Charity clients · unset to 2.0Feb 1, 2022 to Feb 16, 2023
- Corporate clients · 6.0 to unsetFeb 1, 2022 to Feb 16, 2023
- HNW clients · 74 to 64Feb 1, 2022 to Feb 16, 2023
- Individual clients · 139 to 180Feb 1, 2022 to Feb 16, 2023
- Pooled vehicle clients · 3.0 to unsetFeb 1, 2022 to Feb 16, 2023
- Discretionary RAUM · $349M to $331MFeb 1, 2022 to Feb 16, 2023
- HNW RAUM · $186M to $181MFeb 1, 2022 to Feb 16, 2023
- Individual RAUM · $54.3M to $40.9MFeb 1, 2022 to Feb 16, 2023
- Non-discretionary RAUM · $3.1M to $0Feb 1, 2022 to Feb 16, 2023
- Pooled vehicle RAUM · 14239000.0 to unsetFeb 1, 2022 to Feb 16, 2023
- RAUM · $352M to $331MFeb 1, 2022 to Feb 16, 2023
Signals
6 dated events
- T•••••• S••• B••••• left N•••••••• C•••••• L•• for W••••• W••••• L•• (registered 2024-03-19)Jan 23, 2024 · Advisor changed firm · fact
- J••• A•••• D••••• left N•••••••• C•••••• L•• for W••••• W••••• L•• (registered 2024-01-17)Aug 2, 2023 · Advisor changed firm · fact
- J•••••• V••••• W••••• left N•••••••• C•••••• L•• for W••••• W••••• L•• (registered 2024-01-11)May 17, 2022 · Advisor changed firm · fact
- Michael Joseph Sroka (Principal) appeared on Schedule A of N•••••••• C•••••• L••Apr 22, 2021 · Control person joined · fact
- Michael Joseph Sroka (Chief Investment Officer) no longer on Schedule A of N•••••••• C•••••• L•• (listed 2020-05-08, absent 2020-06-08)Jun 8, 2020 · Control person left · inference
- N•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)May 31, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/novapoint-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- N••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (404) 445-7885reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026