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
A••••••• W••••• M••••••••• I•••
Latest filing Sep 3, 2026
First filing on the tape Jan 30, 2012 · 40 filings
SEC status approved since Jan 30, 2006
RAUM
$310M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
99%
$306M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$34.4M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$310M as of Mar 6, 2026
Jan 30, 2012$103M then
HNW client RAUM$228M as of Mar 6, 2026
Mar 31, 2022$200M then
State-registered IARs (5.B.3)9 as of Mar 6, 2026
Jan 30, 20120 then
Employees (5.A)10 as of Mar 6, 2026
Jan 28, 201328 then
Private funds: no history
RAUM +9.0% over the last fiscal year+1.1% a year over threeIARs 0 to 9offices 1 to 2
Practice profile
derived from the filing of Sep 3, 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
- $34.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $280,557derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$228M74%
- Individuals$78.0M25%
- Corporations and businesses$2.4M0.8%
- Charitable organizations$1.6M0.5%
- Banks and thrifts$16,0000.0%
- Individual clients
- 383reported
- HNW clients
- 167reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,105reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $9.0M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A••••• B••••••• | Alpharetta, Ga | Jan 31, 2003 | 46 y | 0 |
| L•• W••••• H•••••••••Chartered Financial Analyst | Roswell, Ga | Jun 9, 2005 | 24 y | 3 |
| R•••••• J•••• M••••• | Roswell, Ga | Sep 29, 2006 | 41 y | 0 |
| G•••• M•••••• B••••••• | Alpharetta, Ga | Jan 9, 2008 | 28 y | 0 |
| S•••••• M•••••• R••••• | Alpharetta, Ga | Sep 1, 2009 | 45 y | 1 |
| J••• F••••••• L••• J•• | Casper, Wy | Dec 20, 2011 | 26 y | 2 |
| K•••• F•••••• H••••• | Alpharetta, Ga | Aug 3, 2017 | 40 y | 1 |
| K••• A••• G•••••• | Alpharetta, Ga | Mar 18, 2021 | 16 y | 3 |
| A••• J•••• L••• | Casper, Wy | Dec 9, 2022 | 14 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 headcount5 left over 36 months
Left, latest
- M•••••• R•••••• S••••••• to L•• F•••••••• L••Jul 11, 2024 · RIA to affiliated broker-dealer or bank
- R•••• A••• H••• to L•• F•••••••• L••Jun 14, 2024 · RIA to affiliated broker-dealer or bank
- R••••• A•••• W••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 4, 2023 · RIA to affiliated broker-dealer or bank
- E•••••••• W••••• R••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 4, 2023 · RIA to affiliated broker-dealer or bank
- J•••• M• R••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 4, 2023 · RIA to affiliated broker-dealer or bank
- H•••• A•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 7, 2022 · RIA to affiliated broker-dealer or bank
- J•••• L•• S•••• to S••••••• W••••• M••••••••• L••Nov 30, 2021 · RIA to RIA
- R•••••• P••• C•••••• to C•••••• W••••• M•••••••••Sep 4, 2013 · Other
- G••• D••••• B••••• to G••• B••••• I••••••••• L••May 12, 2011 · Other
- D••••• C•••••• K••••••• to I••••••••• A••••••• I••••••••• I•••Dec 31, 2009 · Other
Joined, latest
- K••• A••• G•••••• from W•••• F•••• A•••••••Mar 18, 2021 · Wirehouse to independent RIA
- J••• F••••••• L••• J•• from Y••••••••• P•••••••Dec 20, 2011 · Other
- M•••••• R•••••• S••••••• from R•••••• J•••• F•••••••• S•••••••• I•••Jan 11, 2010 · Other
- S•••••• M•••••• R••••• from A••••••••• A•••••• S•••••••• I•••Sep 1, 2009 · Other
- R•••• A••• H••• from R•••••• J•••• F•••••••• S•••••••• I•••Apr 24, 2009 · Other
- L•• W••••• H••••••••• from R•••••• J•••• F•••••••• S•••••••• I•••Jun 9, 2005 · Other
- H•••• A•• from E•••••••• A•••••••• L••Apr 15, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 4, 2023 · Alpharetta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J••••• A••••• · Chief Compliance Officer/Pres./Cfocontrolsince 01/1990 · owns 75% or more
- B•••••••• G•••• M•••••• · Chief Aml Officersince 01/2007 · owns less than 5%
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 | 0 | 0 | ||
| Casper, Wy | 2 | 0 | 0 | ||
| Atlanta, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Roswell, GA1 employees
- Casper, WY1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 6, 2026 to Sep 3, 2026
- Other offices · 1 to 2Mar 6, 2026 to Sep 3, 2026
- Related adviser · false to unsetMar 6, 2026 to Sep 3, 2026
- Related bank · false to unsetMar 6, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetMar 6, 2026 to Sep 3, 2026
- Related insurance company · false to unsetMar 6, 2026 to Sep 3, 2026
- Succession · false to unsetMar 6, 2026 to Sep 3, 2026
- Accounts · 1,219 to 1,105Feb 13, 2026 to Mar 6, 2026
- Advisory employees · 10 to 9Feb 13, 2026 to Mar 6, 2026
- Charity clients · unset to 7.0Feb 13, 2026 to Mar 6, 2026
- Corporate clients · unset to 8.0Feb 13, 2026 to Mar 6, 2026
- HNW clients · 115 to 167Feb 13, 2026 to Mar 6, 2026
- Individual clients · 535 to 383Feb 13, 2026 to Mar 6, 2026
- Financial planning clients · 1-10 to 0Feb 13, 2026 to Mar 6, 2026
- State-registered IARs · 0 to 9Feb 13, 2026 to Mar 6, 2026
- Discretionary RAUM · $273M to $236MFeb 13, 2026 to Mar 6, 2026
- HNW RAUM · $224M to $228MFeb 13, 2026 to Mar 6, 2026
- Individual RAUM · $86.0M to $78.0MFeb 13, 2026 to Mar 6, 2026
- Non-discretionary RAUM · $37.2M to $74.0MFeb 13, 2026 to Mar 6, 2026
- RAUM · $310M to $310MFeb 13, 2026 to Mar 6, 2026
- Wrap assets (manager) · $48.0M to $9.0MFeb 13, 2026 to Mar 6, 2026
- Accounts · 1,087 to 1,219Mar 31, 2025 to Oct 1, 2025
- HNW clients · 104 to 115Mar 31, 2025 to Oct 1, 2025
- Individual clients · 477 to 535Mar 31, 2025 to Oct 1, 2025
- Discretionary RAUM · $249M to $273MMar 31, 2025 to Oct 1, 2025
- HNW RAUM · $206M to $224MMar 31, 2025 to Oct 1, 2025
- Individual RAUM · $78.7M to $86.0MMar 31, 2025 to Oct 1, 2025
- Non-discretionary RAUM · $35.7M to $37.2MMar 31, 2025 to Oct 1, 2025
- RAUM · $284M to $310MMar 31, 2025 to Oct 1, 2025
- Accounts · 873 to 1,087Jan 27, 2025 to Mar 31, 2025
- Advisory activities · 2 to 3Jan 27, 2025 to Mar 31, 2025
- HNW clients · 158 to 104Jan 27, 2025 to Mar 31, 2025
- Individual clients · 703 to 477Jan 27, 2025 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Jan 27, 2025 to Mar 31, 2025
- Other offices · 2 to 1Jan 27, 2025 to Mar 31, 2025
- Discretionary RAUM · $217M to $249MJan 27, 2025 to Mar 31, 2025
- HNW RAUM · $108M to $206MJan 27, 2025 to Mar 31, 2025
- Individual RAUM · $110M to $78.7MJan 27, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $835,623 to $35.7MJan 27, 2025 to Mar 31, 2025
- RAUM · $218M to $284MJan 27, 2025 to Mar 31, 2025
Signals
8 dated events
- M•••••• R•••••• S••••••• left A••••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2024-07-10)Jul 11, 2024 · a•••••• firm change · fact
- R•••• A••• H••• left A••••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2024-07-24)Jun 14, 2024 · a•••••• firm change · fact
- R••••• A•••• W••••• left A••••••• W••••• M••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-04)Oct 4, 2023 · a•••••• firm change · fact
- E•••••••• W••••• R••••••••• left A••••••• W••••• M••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-02)Oct 4, 2023 · a•••••• firm change · fact
- 3 advisors left A••••••• W••••• M••••••••• I••• (Alpharetta, GA) for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• on the same dayOct 4, 2023 · Team lift-out · derived
- J•••• M• R••••••••• left A••••••• W••••• M••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-02)Oct 4, 2023 · a•••••• firm change · fact
- H•••• A•• left A••••••• W••••• M••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-10-07)Oct 7, 2022 · a•••••• firm change · fact
- A••••••• W••••• M••••••••• I••• reported RAUM $340.1M, up 52% from $223.6M (2021-03-09 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
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
- Website
- H•••://WWW.AWMINC.BIZreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-392-8741reportedpublic record, Form ADV, Sep 3, 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
- $34.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026