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••••••• A••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 27, 2017 · 11 filings
SEC status approved since Jul 31, 2017
RAUM
$633M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
3.6%
$22.6M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$633M as of Mar 26, 2026
Mar 29, 2018$653M then
HNW client RAUM$22.6M as of Mar 26, 2026
Mar 20, 2019$10.9M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 29, 20181 then
Employees (5.A)6 as of Mar 26, 2026
Mar 29, 20185 then
Private funds: no history
RAUM -6.1% over the last fiscal year+1.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $25.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- 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
- Insurance companies$611M96%
- High-net-worth individuals$22.6M3.6%
- Individual clients
- 0reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.04 fund_share=0.0 institutional_share=0.96 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 |
|---|---|---|---|---|
| P••• J••••• D••••• | Needham, Ma | Nov 16, 2017 | 28 y | 3 |
| C••• E••• T••••• | Dawsonville, Ga | Dec 4, 2017 | 26 y | 3 |
| D•••••• L•• L•••• | Bloomfield Hills, Mi | Oct 21, 2020 | 33 y | 0 |
| T••••• E• T••••• | New York, Ny | Apr 25, 2022 | 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P••• J••••• D••••• from B••••• P••••• A•••••••• L••Nov 16, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• S••••• •••• · Chief Compliance Officercontrolsince 06/2009 · owns 25% to 50%
- T•••••• C•••• E••• · Membercontrolsince 11/2008 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dawsonville, Ga | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (71 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $500M to $1B (71) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 27 to 25Mar 4, 2025 to Mar 26, 2026
- HNW RAUM · $19.4M to $22.6MMar 4, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $674M to $633MMar 4, 2025 to Mar 26, 2026
- RAUM · $674M to $633MMar 4, 2025 to Mar 26, 2026
- Accounts · 26 to 27Mar 25, 2024 to Mar 4, 2025
- Advisory activities · 6 to 4Mar 25, 2024 to Mar 4, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 4, 2025
- HQ city · unset to Mar 25, 2024 to Mar 4, 2025
- HQ state · unset to Mar 25, 2024 to Mar 4, 2025
- HNW RAUM · $14.9M to $19.4MMar 25, 2024 to Mar 4, 2025
- Individual RAUM · unset to 0.0Mar 25, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $587M to $674MMar 25, 2024 to Mar 4, 2025
- Pension RAUM · unset to 0.0Mar 25, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 25, 2024 to Mar 4, 2025
- RAUM · $587M to $674MMar 25, 2024 to Mar 4, 2025
- Accounts · 28 to 26Mar 21, 2023 to Mar 25, 2024
- HNW RAUM · $14.4M to $14.9MMar 21, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $601M to $587MMar 21, 2023 to Mar 25, 2024
- RAUM · $601M to $587MMar 21, 2023 to Mar 25, 2024
- Advisory employees · 5 to 3Mar 23, 2022 to Mar 21, 2023
- Employees · 7 to 6Mar 23, 2022 to Mar 21, 2023
- HNW RAUM · $15.6M to $14.4MMar 23, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $634M to $601MMar 23, 2022 to Mar 21, 2023
- RAUM · $634M to $601MMar 23, 2022 to Mar 21, 2023
- Accounts · 32 to 28Mar 24, 2021 to Mar 23, 2022
- Advisory employees · 4 to 5Mar 24, 2021 to Mar 23, 2022
- Employees · 6 to 7Mar 24, 2021 to Mar 23, 2022
- State-registered IARs · 1 to 3Mar 24, 2021 to Mar 23, 2022
- Other offices · 3 to 4Mar 24, 2021 to Mar 23, 2022
- HNW RAUM · $15.0M to $15.6MMar 24, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $993M to $634MMar 24, 2021 to Mar 23, 2022
- RAUM · $993M to $634MMar 24, 2021 to Mar 23, 2022
- Accounts · 28 to 32Jun 30, 2020 to Mar 24, 2021
- Advisory activities · 5 to 6Jun 30, 2020 to Mar 24, 2021
- HNW clients · 3 to 4Jun 30, 2020 to Mar 24, 2021
- HNW RAUM · $9.5M to $15.0MJun 30, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $889M to $993MJun 30, 2020 to Mar 24, 2021
- RAUM · $889M to $993MJun 30, 2020 to Mar 24, 2021
- Advisory employees · 3 to 4Mar 20, 2019 to Mar 17, 2020
- Charity clients · 1.0 to unsetMar 20, 2019 to Mar 17, 2020
Signals
2 dated events
- C••••••• A••••••••• L•• reported RAUM $633.9M, down 36% from $993.2M (2021-03-24 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- C••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Jun 27, 2017 · 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
- Website
- C•••••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 9736656370reportedpublic record, Form ADV, Mar 26, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026