DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•• F•••••••• G••••• L••
Latest filing Mar 5, 2026
First filing on the tape Feb 16, 2018 · 15 filings
SEC status approved since Mar 28, 2018
RAUM
$119M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
93%
$110M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$119M as of Mar 5, 2026
Mar 27, 2019$167M then
HNW client RAUM$81.1M as of Mar 5, 2026
Mar 27, 2019$147M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Mar 27, 20192 then
Employees (5.A)4 as of Mar 5, 2026
Mar 27, 20192 then
Private funds: no history
RAUM +8.5% over the last fiscal year-14% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 5, 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
- $39.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $326,717derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $34.9MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$81.1M73%
- Individuals$29.3M27%
- Corporations and businesses$2,2610.0%
- Individual clients
- 147reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 365reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $775 sponsored, $83.2M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• B•••• M••••••• | Atlanta, Ga | May 4, 2018 | 41 y | 2 |
| P••••• O••••• C••••••• | Atlanta, Ga | May 4, 2018 | 40 y | 2 |
| R••••• T••••• C••••••• | Atlanta, Ga | Sep 18, 2020 | 11 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
- M••• B•••• M••••••• from W•••• F•••• A•••••••May 4, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••••• O••••• C••••••• from W•••• F•••• A•••••••May 4, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••May 9, 2018 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• P•••••• O••••• · Member & Chief Compliance Officercontrolsince 02/2009 · owns 50% to 75%
- M•••••••• M•••• B•••• · Membercontrolsince 02/2009 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 383 to 365Mar 17, 2025 to Mar 5, 2026
- Corporate clients · 0.0 to unsetMar 17, 2025 to Mar 5, 2026
- HNW clients · 34 to 29Mar 17, 2025 to Mar 5, 2026
- Individual clients · 124 to 147Mar 17, 2025 to Mar 5, 2026
- Other offices · 0 to 1Mar 17, 2025 to Mar 5, 2026
- Discretionary RAUM · $81.0M to $83.2MMar 17, 2025 to Mar 5, 2026
- HNW RAUM · $75.6M to $81.1MMar 17, 2025 to Mar 5, 2026
- Individual RAUM · $30.0M to $29.3MMar 17, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $28.9M to $36.0MMar 17, 2025 to Mar 5, 2026
- RAUM · $110M to $119MMar 17, 2025 to Mar 5, 2026
- Wrap assets (manager) · $81.2M to $83.2MMar 17, 2025 to Mar 5, 2026
- Wrap assets (sponsor) · $123,969 to $775Mar 17, 2025 to Mar 5, 2026
- Accounts · 413 to 383Mar 28, 2024 to Mar 17, 2025
- HNW clients · 40 to 34Mar 28, 2024 to Mar 17, 2025
- Individual clients · 141 to 124Mar 28, 2024 to Mar 17, 2025
- Assets in custody · 1939029.0 to unsetMar 28, 2024 to Mar 17, 2025
- Custody of client assets · true to falseMar 28, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 17, 2025
- Discretionary RAUM · $148M to $81.0MMar 28, 2024 to Mar 17, 2025
- HNW RAUM · $164M to $75.6MMar 28, 2024 to Mar 17, 2025
- Individual RAUM · $31.7M to $30.0MMar 28, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $48.4M to $28.9MMar 28, 2024 to Mar 17, 2025
- RAUM · $196M to $110MMar 28, 2024 to Mar 17, 2025
- Wrap assets (manager) · $0 to $81.2MMar 28, 2024 to Mar 17, 2025
- Wrap assets (sponsor) · $0 to $123,969Mar 28, 2024 to Mar 17, 2025
- Accounts · 426 to 413Mar 23, 2023 to Mar 28, 2024
- HNW clients · 44 to 40Mar 23, 2023 to Mar 28, 2024
- Individual clients · 142 to 141Mar 23, 2023 to Mar 28, 2024
- Assets in custody · unset to 1939029.0Mar 23, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $148M to $148MMar 23, 2023 to Mar 28, 2024
- HNW RAUM · $157M to $164MMar 23, 2023 to Mar 28, 2024
- Individual RAUM · $30.7M to $31.7MMar 23, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $39.7M to $48.4MMar 23, 2023 to Mar 28, 2024
- RAUM · $188M to $196MMar 23, 2023 to Mar 28, 2024
- Accounts · 420 to 426Mar 9, 2022 to Mar 23, 2023
- Advisory employees · 5 to 3Mar 9, 2022 to Mar 23, 2023
- HNW clients · 37 to 44Mar 9, 2022 to Mar 23, 2023
- Individual clients · 91 to 142Mar 9, 2022 to Mar 23, 2023
- Employees · 6 to 4Mar 9, 2022 to Mar 23, 2023
Signals
1 dated events
- C•• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 2018 · 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
- Business phone
- 678-690-8800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 678-690-8900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (678) 690-8800reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- c••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $39.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026