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
A•••• A•••••••
Legal name A•••• A••••••• I••••••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape May 21, 2018 · 20 filings
SEC status approved since Jun 25, 2018
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.3B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$280M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.4B as of Mar 24, 2026
Feb 9, 2019$781M then
HNW client RAUM$1.3B as of Mar 24, 2026
Feb 9, 2019$549M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Feb 9, 20192 then
Employees (5.A)9 as of Mar 24, 2026
Feb 9, 20196 then
Private funds: no history
RAUM +7.6% over the last fiscal year+9.9% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $280MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $667M, 208 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B93%
- Individuals$49.6M3.5%
- Charitable organizations$26.6M1.9%
- Pension and profit-sharing plans$22.8M1.6%
- Corporations and businesses$2.4M0.2%
- Individual clients
- 211reported
- HNW clients
- 245reported
- Pension plan clients
- 6reported
- Charitable clients
- 11reported
- Accounts
- 1,263reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $667M for 208 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• W••••••• R•••Certified Financial Planner | Augusta, Ga | Jul 9, 2018 | 25 y | 1 |
| J•••• H• M•••••• | Augusta, Ga | Oct 22, 2019 | 14 y | 1 |
| W•••••• B•••••• E••••Certified Financial Planner, Personal Financial Specialist | Augusta, Ga | May 18, 2023 | 12 y | 1 |
| R•••• A••• W•••••••Chartered Financial Analyst | Augusta, Ga | Jul 31, 2023 | 13 y | 0 |
| B••••••• A•••• B•••••• | Augusta, Ga | Apr 5, 2024 | 12 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
- W•••••• B•••••• E•••• from C•••••• W•••••• L••May 18, 2023 · RIA to RIA
- J•••• H• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 22, 2019 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• B•••••••• A•••• · Chief Operations Officercontrolsince 01/2020 · owns less than 5%
- K••••• E•••• N•••••• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- R•••• R•••••• W••••••• · Vice Presidentcontrolsince 07/2018 · owns less than 5%
- R•••• G•••••• A••••• · Presidentcontrolsince 07/2018 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- S••••••• Pension Advisors, LLC.investment adviserLP sponsornRAUM $12B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Augusta, Ga · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,192 to 1,263Nov 14, 2025 to Mar 24, 2026
- Charity clients · 10 to 11Nov 14, 2025 to Mar 24, 2026
- Corporate clients · 2 to 3Nov 14, 2025 to Mar 24, 2026
- HNW clients · 228 to 245Nov 14, 2025 to Mar 24, 2026
- Individual clients · 217 to 211Nov 14, 2025 to Mar 24, 2026
- Pension plan clients · 8 to 6Nov 14, 2025 to Mar 24, 2026
- Assets in custody · $567M to $667MNov 14, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.3B to $1.4BNov 14, 2025 to Mar 24, 2026
- HNW RAUM · $1.2B to $1.3BNov 14, 2025 to Mar 24, 2026
- Individual RAUM · $55.8M to $49.6MNov 14, 2025 to Mar 24, 2026
- Pension RAUM · $22.6M to $22.8MNov 14, 2025 to Mar 24, 2026
- RAUM · $1.3B to $1.4BNov 14, 2025 to Mar 24, 2026
- Advisory activities · 3 to 4Mar 27, 2025 to Nov 14, 2025
- Accounts · 1,108 to 1,192Dec 4, 2024 to Mar 27, 2025
- HNW clients · 230 to 228Dec 4, 2024 to Mar 27, 2025
- Individual clients · 197 to 217Dec 4, 2024 to Mar 27, 2025
- Assets in custody · $438M to $567MDec 4, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 26-50Dec 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.1B to $1.3BDec 4, 2024 to Mar 27, 2025
- HNW RAUM · $1.1B to $1.2BDec 4, 2024 to Mar 27, 2025
- Individual RAUM · $44.5M to $55.8MDec 4, 2024 to Mar 27, 2025
- Pension RAUM · $26.1M to $22.6MDec 4, 2024 to Mar 27, 2025
- RAUM · $1.1B to $1.3BDec 4, 2024 to Mar 27, 2025
- Related insurance company · false to trueDec 4, 2024 to Mar 27, 2025
- Advisory employees · 5 to 6Mar 27, 2024 to Sep 23, 2024
- Advisory activities · 2 to 3Mar 27, 2024 to Sep 23, 2024
- State-registered IARs · 5 to 6Mar 27, 2024 to Sep 23, 2024
- Accounts · 1,070 to 1,108Sep 26, 2023 to Mar 27, 2024
- Advisory employees · 3 to 5Sep 26, 2023 to Mar 27, 2024
- Advisory activities · 1 to 2Sep 26, 2023 to Mar 27, 2024
- Corporate clients · 3 to 2Sep 26, 2023 to Mar 27, 2024
- HNW clients · 240 to 230Sep 26, 2023 to Mar 27, 2024
- Individual clients · 186 to 197Sep 26, 2023 to Mar 27, 2024
- Pension plan clients · 9 to 8Sep 26, 2023 to Mar 27, 2024
- Assets in custody · $337M to $438MSep 26, 2023 to Mar 27, 2024
- Employees · 7 to 9Sep 26, 2023 to Mar 27, 2024
- Financial planning clients · unset to 11-25Sep 26, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 5Sep 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.1B to $1.1BSep 26, 2023 to Mar 27, 2024
- HNW RAUM · $965M to $1.1BSep 26, 2023 to Mar 27, 2024
Signals
4 dated events
- N•••••• E••• K•••• (Chief Compliance Officer) appeared on Schedule A of A•••• A•••••••Sep 23, 2024 · Control person joined · fact
- Simon Sabrina Rush (Chief Compliance Officer) no longer on Schedule A of A•••• A••••••• (listed 2021-03-10, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- A•••• B••••••• B•••••• (Chief Operations Officer) appeared on Schedule A of A•••• A•••••••Mar 8, 2021 · Control person joined · fact
- A•••• A••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 21, 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
- 706-650-9900reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 706-650-9994reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ASSETADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 706-650-9900reportedpublic record, Form ADV, Mar 24, 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
- $280Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026