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

W••••• S•••• M••••••••• L••

Independent wealth managerSavannah, GeorgiaCRD 299164SEC 801-132410IAPD
Latest filing Mar 11, 2026
First filing on the tape Mar 14, 2025 · 3 filings
SEC status approved since Apr 14, 2025
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$105M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$123M as of Mar 11, 2026
Mar 14, 2025$112M then
HNW client RAUM$105M as of Mar 11, 2026
Mar 14, 2025$96.3M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Mar 14, 20251 then
Employees (5.A)3 as of Mar 11, 2026
Mar 14, 20253 then
Private funds: no history
RAUM +9.3% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • 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
$123MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.7MderivedHNW RAUM over HNW clients
Average account
$8.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$54.4M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$105M99%
  • Charitable organizations$700,0000.7%
Individual clients
n/areported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$54.4M for 4 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.86 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• Q••••••• S•••••••••Certified Financial PlannerSavannah, GaNov 20, 201819 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••••• R••••••• Q••••••• · Managing Principal & Ccocontrol
      since 08/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 19 to 15
      Aug 21, 2025 to Mar 11, 2026
    • Assets in custody · $50.8M to $54.4M
      Aug 21, 2025 to Mar 11, 2026
    • Discretionary RAUM · $112M to $123M
      Aug 21, 2025 to Mar 11, 2026
    • HNW RAUM · $96.3M to $105M
      Aug 21, 2025 to Mar 11, 2026
    • Non-discretionary RAUM · $200,000 to $0
      Aug 21, 2025 to Mar 11, 2026
    • RAUM · $112M to $123M
      Aug 21, 2025 to Mar 11, 2026
    • Financial planning clients · 0 to 0
      Mar 14, 2025 to Aug 21, 2025
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Principal office phone
    404-831-5109reportedpublic record, Form ADV, Mar 11, 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
    $123Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026