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
N•••••• W••••• M•••••••••
Legal name N•••••• F•••••••• S•••••••• I•••
Latest filing Sep 14, 2026
First filing on the tape Mar 4, 2025 · 3 filings
SEC status approved since Mar 31, 2025
RAUM
$177M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
80%
$141M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$88.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$177M as of Feb 9, 2026
Mar 4, 2025$143M then
HNW client RAUM$93.4M as of Feb 9, 2026
Mar 4, 2025$68.4M then
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Mar 4, 20252 then
Employees (5.A)3 as of Feb 9, 2026
Mar 4, 20253 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Sep 14, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $88.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $305,844derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.0%derived
- Compensation
- percentage of assets, 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
- is an insurance broker or agent (6.A.6)
- 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$93.4M53%
- Individuals$47.4M27%
- Pension and profit-sharing plans$34.7M20%
- Corporations and businesses$970,3560.5%
- Charitable organizations$568,6740.3%
- Individual clients
- 147reported
- HNW clients
- 43reported
- Pension plan clients
- 15reported
- Charitable clients
- 1reported
- Accounts
- 579reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• A••• N•••••• | Alpharetta, Ga | Jul 9, 2018 | 31 y | 2 |
| L•••• D••••• N••••••Certified Financial Planner | Alpharetta, Ga | Jul 9, 2018 | 27 y | 2 |
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
- J••• A••• N•••••• from M••••••• F•••••••• G••••• I•••Jul 9, 2018 · RIA to RIA
- L•••• D••••• N•••••• from M••••••• F•••••••• G••••• I•••Jul 9, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••••• F•••••••• G••••• I•••Jul 2, 2018 · Rockville, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• J•••• A••• · Presidentcontrolsince 12/2001 · owns 50% to 75%
- N••••••• L••••• D••••• · Vice President / Chief Compliance Officercontrolsince 12/2001 · 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 |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Feb 9, 2026 to Sep 14, 2026
- Related adviser · false to unsetFeb 9, 2026 to Sep 14, 2026
- Related bank · false to unsetFeb 9, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetFeb 9, 2026 to Sep 14, 2026
- Related insurance company · false to unsetFeb 9, 2026 to Sep 14, 2026
- Succession · false to unsetFeb 9, 2026 to Sep 14, 2026
- Accounts · 542 to 579Mar 4, 2025 to Feb 9, 2026
- Advisory activities · 3 to 2Mar 4, 2025 to Feb 9, 2026
- HNW clients · 36 to 43Mar 4, 2025 to Feb 9, 2026
- Individual clients · 162 to 147Mar 4, 2025 to Feb 9, 2026
- Assets in custody · 67832611.0 to unsetMar 4, 2025 to Feb 9, 2026
- Custody of client assets · true to falseMar 4, 2025 to Feb 9, 2026
- Financial planning clients · 101-250 to 51-100Mar 4, 2025 to Feb 9, 2026
- Discretionary RAUM · $114M to $142MMar 4, 2025 to Feb 9, 2026
- HNW RAUM · $68.4M to $93.4MMar 4, 2025 to Feb 9, 2026
- Individual RAUM · $44.4M to $47.4MMar 4, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $29.8M to $34.7MMar 4, 2025 to Feb 9, 2026
- Pension RAUM · $29.8M to $34.7MMar 4, 2025 to Feb 9, 2026
- RAUM · $143M to $177MMar 4, 2025 to Feb 9, 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 email
- i•••@n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r•••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-500-1943reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-996-6893reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- N••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-996-6893reportedpublic record, Form ADV, Sep 14, 2026
- Team page
- n•••••••••.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
- $88.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026