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
F••••••••• W••••• M••••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Apr 21, 2015 · 39 filings
SEC status approved since May 6, 2015
RAUM
$773M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$762M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$773M as of Aug 13, 2026
Feb 26, 2016$186M then
HNW client RAUM$667M as of Aug 13, 2026
Mar 12, 2018$192M then
State-registered IARs (5.B.3)6 as of Aug 13, 2026
Feb 26, 20164 then
Employees (5.A)10 as of Aug 13, 2026
Feb 26, 20165 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $402,401derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 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
- +7.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $56.3M, 78 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$667M86%
- Individuals$94.7M12%
- Corporations and businesses$11.7M1.5%
- Charitable organizations$186,2800.0%
- Individual clients
- 301reported
- HNW clients
- 266reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,922reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.3M for 78 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• A•••••••Certified Financial Planner | Alpharetta, Ga | Jun 1, 2015 | 24 y | 2 |
| B•••• P•••••• J•••••••Certified Financial Planner | Alpharetta, Ga | Jun 1, 2015 | 23 y | 2 |
| J••• R•••••• W•••• | Alpharetta, Ga | Jun 1, 2015 | 20 y | 2 |
| J••• J••••• E••••Certified Financial Planner | Alpharetta, Ga | Jun 1, 2015 | 18 y | 4 |
| C••••• B•••• F•••••Certified Financial Planner | Alpharetta, Ga | May 4, 2021 | 12 y | 0 |
| C•••••• H••••• A••••• | Alpharetta, Ga | Aug 8, 2024 | 10 y | 0 |
| S•••••• A•••••Certified Financial Planner | Alpharetta, Ga | Jul 28, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••••• A••••• from H• W•••••Jul 28, 2026 · RIA to RIA
- A•••••• A••••••• from S••••••• I••••••••• S•••••••• I•••Jun 1, 2015 · Other
- B•••• P•••••• J••••••• from S••••••• I••••••••• S•••••••• I•••Jun 1, 2015 · Other
- J••• R•••••• W•••• from S••••••• I••••••••• S•••••••• I•••Jun 1, 2015 · Other
- J••• J••••• E•••• from S••••••• I••••••••• S•••••••• I•••Jun 1, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S••••••• I••••••••• S•••••••• I•••May 19, 2015 · Alpharetta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• A••••••• J•••• · Managing Partner, Chief Compliance Officer, Chief Financial Officercontrolsince 05/2015 · owns less than 5%
- E••••• J•••• J••••• · Managing Partner And Chief Technology Officercontrolsince 01/2018 · owns less than 5%
- J•••••••• B••••• P•••••• · Managing Partner, Chief Investment Officercontrolsince 05/2015 · owns less than 5%
- W••••• J•••• R•••••• · Managing Partner, Chief Operating Officercontrolsince 05/2015 · owns less than 5%
- A•••••••• A••••••• J•••• · Sole Membercontrolsince 05/2015 · owns 75% or more of T• A•••••••• L••
- E••••• J•••• J••••• · Sole Membercontrolsince 01/2018 · owns 75% or more of J• E••••• L••
- J•••••••• B••••• P•••••• · Sole Membercontrolsince 05/2015 · owns 75% or more of B• J•••••••• L••
- W••••• J•••• R•••••• · Sole Membercontrolsince 05/2015 · owns 75% or more of J• W••••• L••
Entity owners
- B• J•••••••• L•• · Memberdirect · owns 25% to 50%
- J• E••••• L•• · Memberdirect · owns 25% to 50%
- J• W••••• L•• · Memberdirect · owns 25% to 50%
- T• A•••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,779 to 1,922Jul 11, 2025 to Mar 16, 2026
- Corporate clients · unset to 8.0Jul 11, 2025 to Mar 16, 2026
- HNW clients · 249 to 266Jul 11, 2025 to Mar 16, 2026
- Individual clients · 278 to 301Jul 11, 2025 to Mar 16, 2026
- Assets in custody · $44.6M to $56.3MJul 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $658M to $767MJul 11, 2025 to Mar 16, 2026
- HNW RAUM · $562M to $667MJul 11, 2025 to Mar 16, 2026
- Individual RAUM · $91.2M to $94.7MJul 11, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $6.0M to $6.6MJul 11, 2025 to Mar 16, 2026
- RAUM · $664M to $773MJul 11, 2025 to Mar 16, 2026
- Financial planning clients · 251-500 to 251-500Jun 30, 2025 to Jul 11, 2025
- Accounts · 1,648 to 1,779Oct 3, 2024 to Feb 19, 2025
- Advisory employees · 5 to 6Oct 3, 2024 to Feb 19, 2025
- HNW clients · 200 to 249Oct 3, 2024 to Feb 19, 2025
- Individual clients · 295 to 278Oct 3, 2024 to Feb 19, 2025
- Assets in custody · $31.1M to $44.6MOct 3, 2024 to Feb 19, 2025
- State-registered IARs · 5 to 6Oct 3, 2024 to Feb 19, 2025
- Discretionary RAUM · $560M to $658MOct 3, 2024 to Feb 19, 2025
- HNW RAUM · $452M to $562MOct 3, 2024 to Feb 19, 2025
- Individual RAUM · $105M to $91.2MOct 3, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $5.7M to $6.0MOct 3, 2024 to Feb 19, 2025
- RAUM · $566M to $664MOct 3, 2024 to Feb 19, 2025
- Accounts · 1,566 to 1,648Nov 1, 2023 to Feb 29, 2024
- BD registered reps · 2 to 1Nov 1, 2023 to Feb 29, 2024
- Charity clients · 1.0 to unsetNov 1, 2023 to Feb 29, 2024
- Corporate clients · 4.0 to unsetNov 1, 2023 to Feb 29, 2024
- HNW clients · 192 to 200Nov 1, 2023 to Feb 29, 2024
- Individual clients · 280 to 295Nov 1, 2023 to Feb 29, 2024
- Assets in custody · $30.0M to $31.1MNov 1, 2023 to Feb 29, 2024
- Employees · 8 to 10Nov 1, 2023 to Feb 29, 2024
- Discretionary RAUM · $509M to $560MNov 1, 2023 to Feb 29, 2024
- HNW RAUM · $408M to $452MNov 1, 2023 to Feb 29, 2024
- Individual RAUM · $97.2M to $105MNov 1, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $5.9M to $5.7MNov 1, 2023 to Feb 29, 2024
- RAUM · $515M to $566MNov 1, 2023 to Feb 29, 2024
- Accounts · 1,436 to 1,566Feb 7, 2023 to Feb 13, 2023
- Charity clients · unset to 1.0Feb 7, 2023 to Feb 13, 2023
- Corporate clients · 3 to 4Feb 7, 2023 to Feb 13, 2023
- HNW clients · 181 to 192Feb 7, 2023 to Feb 13, 2023
- Individual clients · 254 to 280Feb 7, 2023 to Feb 13, 2023
Signals
1 dated events
- F••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 21, 2015 · 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/frwmreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 470-395-4749reportedpublic record, Form ADV, Aug 13, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026