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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

S••• M••••••• A•••••••• L••

Independent wealth managerAtlanta, GeorgiaCRD 298593SEC 801-114002website IAPD

Latest filing Jul 9, 2026

First filing on the tape Aug 17, 2018 · 25 filings

SEC status approved since Sep 18, 2018

RAUM

$4.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

94%

$4.0B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$204M

derived; firm RAUM over IAPD count

Employees

20 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM$4.3B as of Jul 9, 2026

Jan 17, 2019$100M then

HNW client RAUM$4.0B as of Jul 9, 2026

Jan 17, 2019$74.2M then

State-registered IARs (5.B.3)21 as of Jul 9, 2026

Jan 17, 20193 then

Employees (5.A)31 as of Jul 9, 2026

Jan 17, 20196 then

Private funds3 as of Jul 9, 2026

Mar 25, 20223 then

RAUM +27% over the last fiscal year+41% a year over threeIARs 16 to 21

Practice profile

derived from the filing of Jul 9, 2026; every figure names its basis

Archetypes, each a printed rule

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
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M

RAUM per advisor: $204MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 9derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $25.0MderivedHNW RAUM over HNW clients
Average account: $22.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 21.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +27%derivedbetween the last two annual amendments
Advisor growth, one year: +31%derivedItem 5.B.3 between annual amendments
Client growth, one year: +8.1%derived
Compensation: percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody: $2.5B, 170 clientsreportedItem 9.A
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)
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)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$4.0B94%
Charitable organizations$234M5.5%
Pooled investment vehicles$26.9M0.6%
Individuals$5.0M0.1%

Individual clients: 25reported
HNW clients: 161reported
Pension plan clients: n/areported
Charitable clients: 4reported
Accounts: 193reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $2.5B for 170 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.94 fund_share=0.01 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

21 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S•••• M•••••• N••Chartered Financial Analyst	Atlanta, Ga	Oct 5, 2018	26 y	0
A•••••• J••• C••	Atlanta, Ga	Nov 14, 2018	17 y	0
D•••••• A•••••• W•••••	Atlanta, Ga	Apr 25, 2019	14 y	2
C•••••••• C•••••• P•••••Certified Financial Planner	Atlanta, Ga	Jun 23, 2020	15 y	3
E••••• M•••• D••••••	Atlanta, Ga	Dec 22, 2020	18 y	2
J••• R•••••• A••••Chartered Financial Analyst	Atlanta, Ga	Nov 3, 2021	18 y	2
W•••••• T••••• G••• T•••••Chartered Financial Analyst	Atlanta, Ga	Oct 5, 2022	18 y	1
R••• C• S••••••••	Atlanta, Ga	Jan 17, 2023	12 y	0
A•••••• M• L••••••••	Atlanta, Ga	Mar 6, 2023	11 y	0
J•••• W••••••••• H•••••Chartered Financial Analyst	Atlanta, Ga	Oct 10, 2023	11 y	0
R••• F•••••• K•••••••Certified Financial Planner, Chartered Financial Consultant	Atlanta, Ga	Dec 1, 2023	26 y	1
T•••••• J• B•••••	Atlanta, Ga	Jan 9, 2024	10 y	1
A••• R••• E••••Chartered Financial Analyst	Atlanta, Ga	Feb 2, 2024	14 y	0
J••••• Z•••• E••••• J••••••	Atlanta, Ga	Mar 1, 2024	12 y	0
D•••• K••• P••••	Atlanta, Ga	Aug 30, 2024	10 y	2
T••••• O•••••• B••••	Atlanta, Ga	Sep 5, 2024	13 y	1
P••••• C•••• T•••••	Atlanta, Ga	Sep 19, 2025	11 y	0
J•••••• D••• C•••Certified Financial Planner	Atlanta, Ga	Nov 20, 2025	11 y	0
C•••••• E••• D••••••••Chartered Financial Analyst	Atlanta, Ga	Nov 20, 2025	10 y	1
M•••••• H••••• B•••••Chartered Financial Analyst	Atlanta, Ga	Nov 25, 2025	10 y	3
C•••• Z••••• V•••••	Atlanta, Ga	Sep 10, 2026	10 y	1

Advisor movement

1 left, 3 joined in 12 months

net +2 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 4.8% of current headcount1 left over 36 months

Left, latest

J••• B••••• D•••• to I•••••• W•••••
Aug 17, 2026 · RIA to RIA
S••• J• T••••••••• to M••••• S••••••
Oct 6, 2022 · RIA to wirehouse
S•••••• M••• R••••• to C••••••• P•••••••
Nov 3, 2021 · RIA to RIA

Joined, latest

C•••• Z••••• V••••• from O••••••••• • C•• I•••
Sep 10, 2026 · Affiliated broker-dealer or bank to independent RIA
M•••••• H••••• B••••• from S•••••• M•••• M••••••••• L••
Nov 25, 2025 · RIA to RIA
C•••••• E••• D•••••••• from T••••• A••••••• S•••••••• I•••
Nov 20, 2025 · Affiliated broker-dealer or bank to independent RIA
T••••• O•••••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 5, 2024 · Wirehouse to independent RIA
D•••• K••• P•••• from T•• M••••• G••••• L••
Aug 30, 2024 · RIA to RIA
T•••••• J• B••••• from A•••• O•• C•••••• A•••••••• L••
Jan 9, 2024 · Other
R••• F•••••• K••••••• from P•••• S••••••••• L••
Dec 1, 2023 · Affiliated broker-dealer or bank to independent RIA
J••• B••••• D•••• from C••••••
Jan 23, 2023 · RIA to RIA
W•••••• T••••• G••• T••••• from G•••••• S•••• W••••• S•••••••• L•••
Oct 5, 2022 · Affiliated broker-dealer or bank to independent RIA
J••• R•••••• A•••• from B••••• C•••••• A•••••••• L••
Nov 3, 2021 · RIA to RIA
S••• J• T••••••••• from V••• I••••••••• M••••••••• C•• L••
Aug 16, 2021 · Other
E••••• M•••• D•••••• from O••••• W••••• A••••••• L•••••
Dec 22, 2020 · Other
C•••••••• C•••••• P••••• from B••• S••••••••• L••
Jun 23, 2020 · Affiliated broker-dealer or bank to independent RIA
D•••••• A•••••• W••••• from P•• W••••• M•••••••••
Apr 25, 2019 · Other

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••••• T•••• G••••• F••••••• F••• O•••••• L•	Hedge Fund	$19.1M	70	Mar 25, 2022
S••••••• T•••• G••••• P•• 1• A••••• F••• L•	Venture Capital Fund	$6.4M	17	Mar 25, 2022
S••••••• T•••• G••••• F••••••• F••• C•••••	Hedge Fund	$5.6M	27	Mar 25, 2022

Owners and control persons

Schedule A and B, latest filing

C••• A••••••• J••• · President, Chief Investment Officer And Membercontrol
since 09/2018 · owns less than 5%
I•••••• A•••••• W•••••• · Chief Compliance Officercontrol
since 09/2018 · owns less than 5%
N••• S••••• M•••••• · Chief Executive Officer And Membercontrol
since 09/2018 · owns less than 5%
Y••••••• B••••• M••••••• · Chief Operating Officercontrol
since 07/2025 · owns less than 5%
C••• A••••••• J••• · Ownercontrol
since 09/2018 · owns F of T• A•••••••
N••• S••••• M•••••• · Shareholdercontrol
since 09/2018 · owns 75% or more of L••• C•••••• L••

Entity owners

L••• C•••••• L•• · Managing Member
direct · owns 50% to 75%
T• A••••••• · Owner
direct · owns 5% to 10%
S••••••• G•• L•• · Owner
direct · owns 5% to 10%
S••••••• W••••• H•••••••• L•• · Owner
direct · owns 10% to 25%
W••• H•••••••• L•• · Managing Member
direct · owns less than 5%

Related persons

Schedule D 7.A

S••••••• G••••• F••••••• F••• O•••••• G• L••
pooled vehicle sponsorn
S••••••• T•••• G••••• F••••••• F••• C••••• G• L••
pooled vehicle sponsorn
S••••••• T•••• G••••• P•• 1• A••••• G•• L••
pooled vehicle sponsorn

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Atlanta, Ga · principal	21	5	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

unusually large average accountStatic outlier · filing Jul 9, 2026
RAUM per account of $22,211,526 against a peer median of $813,262 (1333 comparable advisers, 98.0th percentile, 14.4 robust deviations)
peers: independent wealth managers, $1B to $5B (1,333) · 98% percentile
control person changedChange between filings · filing Jul 9, 2026
N••• S••••• M•••••• (SHAREHOLDER) left Schedule A between the filings of 2022-03-25 and 2026-07-09
peers: independent wealth managers, $1B to $5B (1,362)
control person changedChange between filings · filing Jul 9, 2026
Y••••••• B••••• M••••••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2022-03-25 and 2026-07-09
peers: independent wealth managers, $1B to $5B (1,362)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 174 to 193
Jul 31, 2025 to Mar 17, 2026
Advisory employees · 16 to 20
Jul 31, 2025 to Mar 17, 2026
Advisory activities · 5 to 6
Jul 31, 2025 to Mar 17, 2026
HNW clients · 154 to 161
Jul 31, 2025 to Mar 17, 2026
Individual clients · 16 to 25
Jul 31, 2025 to Mar 17, 2026
Assets in custody · $10.6M to $2.5B
Jul 31, 2025 to Mar 17, 2026
Employees · 25 to 31
Jul 31, 2025 to Mar 17, 2026
State-registered IARs · 16 to 21
Jul 31, 2025 to Mar 17, 2026
Discretionary RAUM · $3.4B to $4.3B
Jul 31, 2025 to Mar 17, 2026
HNW RAUM · $3.1B to $4.0B
Jul 31, 2025 to Mar 17, 2026
Individual RAUM · $2.8M to $5.0M
Jul 31, 2025 to Mar 17, 2026
Non-discretionary RAUM · $433,144 to $601,981
Jul 31, 2025 to Mar 17, 2026
Pooled vehicle RAUM · $31.3M to $26.9M
Jul 31, 2025 to Mar 17, 2026
RAUM · $3.4B to $4.3B
Jul 31, 2025 to Mar 17, 2026
Charity clients · 2 to 4
Feb 28, 2025 to Jul 31, 2025
HNW clients · 156 to 154
Feb 28, 2025 to Jul 31, 2025
Financial planning clients · 101-250 to 101-250
Feb 28, 2025 to Jul 31, 2025
HNW RAUM · $3.3B to $3.1B
Feb 28, 2025 to Jul 31, 2025
Accounts · 149 to 174
May 10, 2024 to Feb 28, 2025
Advisory employees · 12 to 16
May 10, 2024 to Feb 28, 2025
Corporate clients · 0.0 to unset
May 10, 2024 to Feb 28, 2025
HNW clients · 124 to 156
May 10, 2024 to Feb 28, 2025
Individual clients · 20 to 16
May 10, 2024 to Feb 28, 2025
Pension plan clients · 0.0 to unset
May 10, 2024 to Feb 28, 2025
Assets in custody · $50.5M to $10.6M
May 10, 2024 to Feb 28, 2025
Employees · 22 to 25
May 10, 2024 to Feb 28, 2025
Financial planning clients · 51-100 to 101-250
May 10, 2024 to Feb 28, 2025
State-registered IARs · 6 to 16
May 10, 2024 to Feb 28, 2025
Discretionary RAUM · $2.2B to $3.4B
May 10, 2024 to Feb 28, 2025
HNW RAUM · $2.1B to $3.3B
May 10, 2024 to Feb 28, 2025
Individual RAUM · $10.8M to $2.8M
May 10, 2024 to Feb 28, 2025
Non-discretionary RAUM · $3.8M to $433,144
May 10, 2024 to Feb 28, 2025
Pension RAUM · 0.0 to unset
May 10, 2024 to Feb 28, 2025
Pooled vehicle RAUM · $31.7M to $31.3M
May 10, 2024 to Feb 28, 2025
RAUM · $2.2B to $3.4B
May 10, 2024 to Feb 28, 2025
Accounts · 132 to 149
Mar 27, 2023 to Feb 20, 2024
Advisory employees · 9 to 12
Mar 27, 2023 to Feb 20, 2024
Charity clients · 1 to 2
Mar 27, 2023 to Feb 20, 2024
HNW clients · 115 to 124
Mar 27, 2023 to Feb 20, 2024
Individual clients · 16 to 20
Mar 27, 2023 to Feb 20, 2024

Signals

10 dated events

J••• B••••• D•••• left S••• M••••••• A•••••••• L•• for I•••••• W••••• (registered 2026-09-16)
Aug 17, 2026 · Advisor changed firm · fact
S••• M••••••• A•••••••• L•• reported RAUM $4.3B, up 27% from $3.4B (2025-07-31 to 2026-03-17)
Mar 17, 2026 · RAUM change · derived
S••• M••••••• A•••••••• L•• reported RAUM $3.4B, up 54% from $2.2B (2024-05-10 to 2025-02-28)
Feb 28, 2025 · RAUM change · derived
S••• M••••••• A•••••••• L•• reported 16 state-registered advisory representatives, up from 6 (2024-05-10 to 2025-02-28)
Feb 28, 2025 · Advisor headcount change · derived
S••• M••••••• A•••••••• L•• reported RAUM $2.2B, up 43% from $1.5B (2023-03-27 to 2024-02-20)
Feb 20, 2024 · RAUM change · derived
S••• J• T••••••••• left S••• M••••••• A•••••••• L•• for M••••• S•••••• (registered 2023-01-16)
Oct 6, 2022 · Advisor changed firm · fact
S••• M••••••• A•••••••• L•• reported RAUM $1.4B, up 87% from $752.8M (2021-08-05 to 2022-03-25)
Mar 25, 2022 · RAUM change · derived
S••• M••••••• A•••••••• L•• reported RAUM $752.8M, up 78% from $422.8M (2020-06-02 to 2021-03-10)
Mar 10, 2021 · RAUM change · derived
S••• M••••••• A•••••••• L•• reported RAUM $355.3M, up 254% from $100.3M (2019-05-13 to 2019-09-13)
Sep 13, 2019 · RAUM change · derived
K•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Aug 17, 2018 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

S••• M••••••• A•••••••• L•• · Private Equity
shared crd · intermediary
S••• M••••••• A•••••••• L•• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Business phone: 404-795-8361reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 404-795-8362reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/sage-mountain-advisorsreportedpublic record, Form ADV, Sep 18, 2026
Website: S•••M•••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: (404) 795-8361reportedpublic record, Form ADV, Jul 9, 2026
Contact form: sagemountainadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: sagemountainadvisors.com/teamreportedpublished by the firm, firm site, Sep 15, 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: $204Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026