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••••••• W••••• M•••••••••

Independent wealth managerCRD 285551SEC 801-132176websiteIAPD
Legal name C••••••• W••••• M••••••••• L••
Latest filing Jan 12, 2026
First filing on the tape Apr 30, 2025 · 2 filings
SEC status approved since Mar 14, 2025
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$144M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$144M as of Jan 12, 2026
Apr 30, 2025$119M then
HNW client RAUM$139M as of Jan 12, 2026
Apr 30, 2025$115M then
State-registered IARs (5.B.3)2 as of Jan 12, 2026
Apr 30, 20252 then
Employees (5.A)2 as of Jan 12, 2026
Apr 30, 20252 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 12, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$71.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$532,454derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • High-net-worth individuals$139M97%
  • Individuals$4.4M3.0%
Individual clients
6reported
HNW clients
51reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
270reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••••• C•••• O•••Certified Financial PlannerAtlanta, GaNov 14, 201620 y2
J••••••• D••••• O•••Certified Financial PlannerAtlanta, GaMar 14, 202226 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • O•••• J•••••••• D••••• · Chief Compliance Officercontrol
    since 04/2025 · owns less than 5%
  • O•••• L•••••• C•••• · Presidentcontrol
    since 09/2016 · owns less than 5%
Entity owners
  • A•••••••• F•••••••• A•••••••• L•• · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Atlanta, Ga200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 278 to 270
    Apr 30, 2025 to Jan 12, 2026
  • HNW clients · 53 to 51
    Apr 30, 2025 to Jan 12, 2026
  • Individual clients · 5 to 6
    Apr 30, 2025 to Jan 12, 2026
  • Discretionary RAUM · $119M to $144M
    Apr 30, 2025 to Jan 12, 2026
  • HNW RAUM · $115M to $139M
    Apr 30, 2025 to Jan 12, 2026
  • Individual RAUM · $3.8M to $4.4M
    Apr 30, 2025 to Jan 12, 2026
  • RAUM · $119M to $144M
    Apr 30, 2025 to Jan 12, 2026
Signals
No event on the tape.
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
Business phone
404-736-1261reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
404-736-1262reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
404-736-1263reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile
H•••S://WWW.LINKEDIN.COM/COMPANY/C•••••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
Website
H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
404-736-1261reportedpublic record, Form ADV, Jan 12, 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
$71.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026