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
R•••••••• A•••••••
Legal name R•••••••• F•••••••• A••••••• L••
Latest filing Aug 24, 2026
First filing on the tape Nov 14, 2018 · 38 filings
SEC status approved since Dec 4, 2019
RAUM
$355M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
99%
$350M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$39.4M
derived; firm RAUM over IAPD count
Employees
20
10 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$355M as of Aug 24, 2026
Mar 30, 2020$102M then
HNW client RAUM$248M as of Aug 24, 2026
Mar 30, 2020$50.5M then
State-registered IARs (5.B.3)10 as of Aug 24, 2026
Mar 29, 20195 then
Employees (5.A)20 as of Aug 24, 2026
Mar 29, 20196 then
Private funds: no history
RAUM +8.7% over the last fiscal year-3.9% a year over threeIARs 7 to 10offices 8 to 9
Practice profile
derived from the filing of Aug 24, 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
- RAUM per advisor
- $39.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $388,494derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 0.9derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +43%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$248M70%
- Individuals$103M29%
- Charitable organizations$4.5M1.3%
- Individual clients
- 297reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 913reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W•••• P•••••• | Chapel Hill, Nc | Mar 9, 2021 | 17 y | 3 |
| D••••• L•••• T•••••Certified Financial Planner | Greenville, Nc | Jan 31, 2022 | 39 y | 2 |
| G••••• M•••••• P••••• | Danville, Ky | Dec 16, 2024 | 43 y | 4 |
| W•••••• R••••••• G•••••• | Fennville, Mi | Jan 2, 2026 | 28 y | 1 |
| J•••• W•••••• H••••••• | Atlanta, Ga | Feb 3, 2026 | 16 y | 3 |
| R•••••• K••••• B•••••• | Danville, Ky | Aug 19, 2026 | 11 y | 1 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 22% of current headcount3 left over 36 months
Left, latest
- S••••• S••••••••• C•••••• to W••••••• C••••••Aug 25, 2026 · RIA to RIA
- D•••• P••••• H••••• to W••••••• C••••••Aug 25, 2026 · RIA to RIA
- R••••• B•••• B••••• to N•••••• W•••••• L••Feb 14, 2025 · RIA to RIA
- R•••• G• K•••••• to N•••••••• W••••• M••••••••• L••Apr 10, 2023 · RIA to a state-registered adviser
- M••••••• L• C•••••••• to K•••••••• W••••• A•••••••• L••Mar 2, 2023 · RIA to RIA
- M•••••• T••••• N••••• to K•••••••• W••••• A•••••••• L••Mar 2, 2023 · RIA to RIA
- G••• G• G••••• to K•••••••• W••••• A•••••••• L••Mar 2, 2023 · RIA to affiliated broker-dealer or bank
- L•••••••• G•••••• H•••••• to F••••••• W••••• A•••••••• L••Sep 17, 2020 · RIA to RIA
- P•••• W•••• C••••• to S•• G•••••• I••••••••• M•••••••••May 4, 2020 · RIA to RIA
Joined, latest
- J•••• W•••••• H••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- W•••••• R••••••• G•••••• from E••••• J••••Jan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- G••••• M•••••• P••••• from E•••••••• F•••••••• A••••••• L••Dec 16, 2024 · Other
- R••••• B•••• B••••• from F••••••• C•••••• A•••••••• L••Nov 28, 2023 · RIA to RIA
- R•••• G• K•••••• from H••••• R••••Feb 17, 2022 · RIA to RIA
- M••••••• L• C•••••••• from H••••• R••••Feb 16, 2022 · RIA to RIA
- M•••••• T••••• N••••• from H••••• R••••Feb 16, 2022 · RIA to RIA
- G••• G• G••••• from H••••• R••••Jan 31, 2022 · RIA to RIA
- D••••• L•••• T••••• from H••••• R••••Jan 31, 2022 · RIA to RIA
- M•••••• W•••• P•••••• from E••• F••••••• C••••••• L••Mar 9, 2021 · Other
- L•••••••• G•••••• H•••••• from E••••••••• P•••••••• L••Jan 3, 2020 · RIA to RIA
- S••••• S••••••••• C•••••• from T•• F•••••••• A•••••••Dec 13, 2019 · RIA to RIA
- P•••• W•••• C••••• from E•••••••• F•••••••• A••••••• L••Dec 13, 2019 · Other
- D•••• P••••• H••••• from T•• F•••••••• A•••••••Dec 3, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••••• C••••••Aug 25, 2026 · Atlanta, Ga
- 2 left for K•••••••• W••••• A•••••••• L••Mar 2, 2023 · Roseville, Ca
- 2 joined from H••••• R••••Mar 31, 2022 · Roseville, Ca
- 2 joined from T•• F•••••••• A•••••••Oct 8, 2019 · Greenville, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• K••• R••• · Chief Executive Officer And Presidentcontrolsince 11/2018 · owns 10% to 25%
- D•••••• K••••••••• K•••• · Chief Financial Officer And Treasurercontrolsince 11/2018 · owns less than 5%
- D•••••• T••••• · G•••Ral Partnercontrolsince 08/2019 · owns 50% to 75% of I••••••••• H••••••• L•
- G•••••• C••••••• C••• · G•••Ral Partnercontrolsince 08/2019 · owns 25% to 50% of I••••••••• H••••••• L•
- P•••• •••• G••• R•••••• · G•••Ral Partnercontrolsince 02/2021 · owns 25% to 50% of S••••••• C•••••• L••
- P••••••• M••••••• W•••• · G•••Ra Partnercontrolsince 07/2012 · owns 75% or more of E••• F••••••• C••••••• L••
- S•••••• S••••• J••• · Chief Compliance Officersince 10/2021 · owns less than 5%
Entity owners
- I••••••••• H••••••• L• · Ownerdirect · owns 25% to 50%
- E••• F••••••• C••••••• L•• · Ownerdirect · owns 5% to 10%
- P•• P•••••••• L•• · Ownerdirect · owns 5% to 10%
- S••••••• C•••••• L•• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 7 | 6 | 2 | 1 | |
| Danville, Ky | 3 | 2 | 0 | ||
| Marietta, Ga | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA2 employees
- Danville, KY2 employees
- Chapel Hill, NC1 employees
- Greenville, NC1 employees
- Wilmington, NC1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 925 to 913Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 7 to 10Mar 31, 2025 to Mar 30, 2026
- HNW clients · 86 to 82Mar 31, 2025 to Mar 30, 2026
- Individual clients · 304 to 297Mar 31, 2025 to Mar 30, 2026
- Employees · 17 to 20Mar 31, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 51-100Mar 31, 2025 to Mar 30, 2026
- State-registered IARs · 7 to 10Mar 31, 2025 to Mar 30, 2026
- Other offices · 8 to 9Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $266M to $311MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $230M to $248MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $92.0M to $103MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $60.6M to $44.0MMar 31, 2025 to Mar 30, 2026
- RAUM · $326M to $355MMar 31, 2025 to Mar 30, 2026
- Accounts · 930 to 925Mar 30, 2024 to Mar 31, 2025
- Advisory activities · 5 to 6Mar 30, 2024 to Mar 31, 2025
- HNW clients · 89 to 86Mar 30, 2024 to Mar 31, 2025
- Individual clients · 310 to 304Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $246M to $266MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $212M to $230MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $84.2M to $92.0MMar 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $53.7M to $60.6MMar 30, 2024 to Mar 31, 2025
- RAUM · $300M to $326MMar 30, 2024 to Mar 31, 2025
- Accounts · 1,487 to 930Dec 4, 2023 to Mar 30, 2024
- Advisory employees · 6 to 7Dec 4, 2023 to Mar 30, 2024
- Charity clients · unset to 2.0Dec 4, 2023 to Mar 30, 2024
- Corporate clients · 2.0 to unsetDec 4, 2023 to Mar 30, 2024
- HNW clients · 108 to 89Dec 4, 2023 to Mar 30, 2024
- Individual clients · 598 to 310Dec 4, 2023 to Mar 30, 2024
- Pension plan clients · 7.0 to unsetDec 4, 2023 to Mar 30, 2024
- Employees · 14 to 17Dec 4, 2023 to Mar 30, 2024
- State-registered IARs · 6 to 7Dec 4, 2023 to Mar 30, 2024
- Other offices · 6 to 8Dec 4, 2023 to Mar 30, 2024
- Discretionary RAUM · $348M to $246MDec 4, 2023 to Mar 30, 2024
- HNW RAUM · $236M to $212MDec 4, 2023 to Mar 30, 2024
- Individual RAUM · $147M to $84.2MDec 4, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $52.1M to $53.7MDec 4, 2023 to Mar 30, 2024
- Pension RAUM · 1761447.0 to unsetDec 4, 2023 to Mar 30, 2024
- RAUM · $400M to $300MDec 4, 2023 to Mar 30, 2024
- Business name · R•••••••• F•••••••• A••••••• L•• to R•••••••• A•••••••Oct 30, 2023 to Dec 4, 2023
Signals
27 dated events
- D•••• P••••• H••••• left R•••••••• A••••••• for W••••••• C•••••• (registered 2026-09-03)Aug 25, 2026 · Advisor changed firm · fact
- S••••• S••••••••• C•••••• left R•••••••• A••••••• for W••••••• C•••••• (registered 2026-08-31)Aug 25, 2026 · Advisor changed firm · fact
- 2 advisors left R•••••••• A••••••• (Atlanta, GA) for W••••••• C•••••• on the same dayAug 25, 2026 · Team lift-out · derived
- R••••• B•••• B••••• left R•••••••• A••••••• for N•••••• W•••••• L•• (registered 2025-02-24)Feb 14, 2025 · Advisor changed firm · fact
- R•••••••• A••••••• reported RAUM $300.1M, down 25% from $400.1M (2023-12-04 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- Weber Matthew Pohlman (Genera Partner) appeared on Schedule A of R•••••••• A•••••••Mar 30, 2024 · Control person joined · fact
- Gene Ruffner (Jr) Page (General Partner) appeared on Schedule A of R•••••••• A•••••••Oct 30, 2023 · Control person joined · fact
- R•••• G• K•••••• left R•••••••• A••••••• for N•••••••• W••••• M••••••••• L•• (registered 2023-03-22)Apr 10, 2023 · Advisor changed firm · fact
- M•••••• T••••• N••••• left R•••••••• A••••••• for K•••••••• W••••• A•••••••• L•• (registered 2023-01-10)Mar 2, 2023 · Advisor changed firm · fact
- 2 advisors left R•••••••• A••••••• (Roseville, CA) for K•••••••• W••••• A•••••••• L•• on the same dayMar 2, 2023 · Team lift-out · derived
- G••• G• G••••• left R•••••••• A••••••• for K•••••••• W••••• A•••••••• L•• (registered 2025-06-10)Mar 2, 2023 · Advisor changed firm · fact
- M••••••• L• C•••••••• left R•••••••• A••••••• for K•••••••• W••••• A•••••••• L•• (registered 2023-01-11)Mar 2, 2023 · Advisor changed firm · fact
- R•••••••• A••••••• reported RAUM $379.2M, up 41% from $268.5M (2022-03-31 to 2022-08-02)Aug 2, 2022 · RAUM change · derived
- Forrest N.B. Shoaf (Secretary) no longer on Schedule A of R•••••••• A••••••• (listed 2022-03-31, absent 2022-08-02)Aug 2, 2022 · Control person left · inference
- R•••••••• A••••••• reported RAUM $333.5M, up 147% from $134.8M (2022-01-27 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- 2 advisors left H••••• R•••• (Roseville, CA) for R•••••••• A••••••• on the same dayMar 31, 2022 · Team lift-out · derived
- White Polly Cordle (Chief Compliance Officer) no longer on Schedule A of R•••••••• A••••••• (listed 2021-03-25, absent 2021-11-29)Nov 29, 2021 · Control person left · inference
- J••• S•••• S••••• (Chief Compliance Officer) appeared on Schedule A of R•••••••• A•••••••Nov 29, 2021 · Control person joined · fact
- White Polly Cordle (Chief Compliance Officer) appeared on Schedule A of R•••••••• A•••••••Mar 25, 2021 · Control person joined · fact
- Andrew C••••••••• P•••• (Chief Compliance Officer) no longer on Schedule A of R•••••••• A••••••• (listed 2021-01-13, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- Kraft Katherine Decker (Chief Financial Officer And Treasurer) appeared on Schedule A of R•••••••• A•••••••Aug 21, 2020 · Control person joined · fact
- White Polly Cordle (Chief Compliance Officer) no longer on Schedule A of R•••••••• A••••••• (listed 2020-03-30, absent 2020-04-29)Apr 29, 2020 · Control person left · inference
- C••••••••• P•••• (Chief Compliance Officer) appeared on Schedule A of R•••••••• A•••••••Apr 29, 2020 · Control person joined · fact
- R•••••••• F•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 2019 · First SEC registration · fact
- White Polly Cordle (Chief Compliance Officer) appeared on Schedule A of R•••••••• A•••••••Nov 3, 2019 · Control person joined · fact
- Townes Duncan (General Partner) appeared on Schedule A of R•••••••• A•••••••Nov 3, 2019 · Control person joined · fact
- Cole Charles Gerber (General Partner) appeared on Schedule A of R•••••••• A•••••••Nov 3, 2019 · Control person joined · 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 email
- info@resurgentadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kcaffey@resurgentadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kdecker@resurgentadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-654-0531reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/east-franklin-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/peachtree-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- resurgentadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-654-0531reportedpublic record, Form ADV, Aug 24, 2026
- Contact form
- resurgentadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- resurgentadvisors.com/team-membersreportedpublished 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
- $39.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026