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

S•• B••• A•••••••• I•••

Independent wealth managerAtlanta, GeorgiaCRD 296929SEC 801-136018websiteIAPD
Latest filing Aug 25, 2026
First filing on the tape Apr 23, 2026 · 3 filings
SEC status approved since Apr 27, 2026
RAUM
$219M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$219M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$19.9M
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$219M as of Aug 25, 2026
Apr 23, 2026$219M then
HNW client RAUM$69.5M as of Aug 25, 2026
Apr 23, 2026$69.5M then
State-registered IARs (5.B.3)9 as of Aug 25, 2026
Apr 23, 20269 then
Employees (5.A)13 as of Aug 25, 2026
Apr 23, 202613 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$19.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$329,143derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
2.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$149M68%
  • High-net-worth individuals$69.5M32%
  • Investment companies$32,0000.0%
Individual clients
601reported
HNW clients
63reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
665reported
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=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• B• D••••••Atlanta, Ga Apr 4, 202224 y6
S•••• M•••••• B•••••Dacula, Ga Mar 31, 202526 y6
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 18% of current headcount2 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S•• B••• A•••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Atlanta, Ga · principal1061
Houston, Tx220
Winter Park, Fl001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
  • S•••••• A••• C••••••• left S•• B••• A•••••••• I••• for A•••• • A••••••• G••••• P••••••• (registered 2026-06-29)
    Jun 26, 2026 · Advisor changed firm · fact
  • R••••• L••••••• left S•• B••• A•••••••• I••• for G•••• W••••• M••••••••• L•• (registered 2026-03-18)
    Mar 23, 2026 · Advisor changed firm · 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
zofingenpwm.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
404.704.0406reportedpublic record, Form ADV, Aug 25, 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
$19.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026