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.
SEC-registered adviser
Southbridge Advisors, LLC
Latest filing Mar 30, 2026
First filing on the tape Nov 11, 2019 · 15 filings
SEC status approved since Dec 12, 2019
RAUM
$353M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
68%
$238M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$58.9M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$353M as of Mar 30, 2026
Mar 26, 2020$151M then
HNW client RAUM$188M as of Mar 30, 2026
Mar 26, 2020$82.1M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 26, 20206 then
Employees (5.A)6 as of Mar 30, 2026
Mar 26, 20206 then
Private funds: no history
RAUM +1.0% over the last fiscal year+12% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $58.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $576,962derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $12.7MreportedItem 5.I
- Custody
- $98.6M, 85 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$188M53%
- Pension and profit-sharing plans$113M32%
- Individuals$50.3M14%
- Corporations and businesses$330,3200.1%
- Charitable organizations$120,0000.0%
- Individual clients
- 119reported
- HNW clients
- 82reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 612reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $98.6M for 85 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.32 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 |
|---|---|---|---|---|
| Michael Todd FieldsCertified Financial Planner | Marieta, Ga | Dec 13, 2019 | 26 y | 3 |
| Louis J Brown | Marieta, Ga | Dec 13, 2019 | 25 y | 4 |
| Robert Y. DonnellCertified Financial Planner | Marieta, Ga | Dec 13, 2019 | 24 y | 3 |
| George Wayne Richerson | Marieta, Ga | Dec 13, 2019 | 18 y | 4 |
| Jerold Martin Sniderman | Marieta, Ga | Dec 13, 2019 | 23 y | 3 |
| Kevin C Sagui | Marieta, Ga | Dec 21, 2023 | 17 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
- Cory Shane Colquette to Optivise Advisory Services LLCMay 26, 2020 · Other
Joined, latest
- Kevin C Sagui from Pruco Securities, LLCDec 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- Michael Todd Fields from SouthbridgeDec 13, 2019 · RIA to a newly registered adviser
- Louis J Brown from SouthbridgeDec 13, 2019 · RIA to a newly registered adviser
- Robert Y. Donnell from SouthbridgeDec 13, 2019 · RIA to a newly registered adviser
- Jerold Martin Sniderman from SouthbridgeDec 13, 2019 · RIA to a newly registered adviser
- George Wayne Richerson from SouthbridgeDec 13, 2019 · RIA to a newly registered adviser
- Cory Shane Colquette from Colquette Group, Inc.Dec 12, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from SouthbridgeMar 26, 2020 · Marrietta, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J Louis Brown · Membercontrolsince 11/2019 · owns 10% to 25%
- Y. Robert Donnell · Membercontrolsince 11/2019 · owns 10% to 25%
- Todd Michael Fields · Member/Ccocontrolsince 11/2019 · owns 10% to 25%
- Wayne George Richerson · Membercontrolsince 11/2019 · owns 10% to 25%
- Martin Jerold Sniderman · Membercontrolsince 11/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- Sniderman Wealth Management LLCreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Marieta, Ga · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 68.0% to 99.0% between the annual amendments of 2025-03-30 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 610 to 612Jun 4, 2025 to Mar 30, 2026
- Pension plan clients · 22 to 19Jun 4, 2025 to Mar 30, 2026
- Assets in custody · $170M to $98.6MJun 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $239M to $349MJun 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $110M to $4.2MJun 4, 2025 to Mar 30, 2026
- Pension RAUM · $110M to $113MJun 4, 2025 to Mar 30, 2026
- RAUM · $350M to $353MJun 4, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 30, 2025 to Jun 4, 2025
- Accounts · 620 to 610Mar 29, 2024 to Mar 30, 2025
- HNW clients · 116 to 82Mar 29, 2024 to Mar 30, 2025
- Individual clients · 136 to 119Mar 29, 2024 to Mar 30, 2025
- Pension plan clients · 24 to 22Mar 29, 2024 to Mar 30, 2025
- Assets in custody · unset to 170000000.0Mar 29, 2024 to Mar 30, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 30, 2025
- Insurance-licensed employees · 0 to 1Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $267M to $239MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $167M to $188MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $39.2M to $50.3MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $36.5M to $110MMar 29, 2024 to Mar 30, 2025
- Pension RAUM · $90.0M to $110MMar 29, 2024 to Mar 30, 2025
- RAUM · $303M to $350MMar 29, 2024 to Mar 30, 2025
- Accounts · 393 to 620Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 5 to 6Mar 31, 2023 to Mar 29, 2024
- Charity clients · 2.0 to unsetMar 31, 2023 to Mar 29, 2024
- HNW clients · 75 to 116Mar 31, 2023 to Mar 29, 2024
- Individual clients · 142 to 136Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 22 to 24Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $250M to $267MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $131M to $167MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $43.5M to $39.2MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $36.5MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $72.8M to $90.0MMar 31, 2023 to Mar 29, 2024
- RAUM · $250M to $303MMar 31, 2023 to Mar 29, 2024
- Accounts · 159 to 393Aug 25, 2022 to Mar 31, 2023
- Advisory employees · 6 to 5Aug 25, 2022 to Mar 31, 2023
- Charity clients · unset to 2.0Aug 25, 2022 to Mar 31, 2023
- HNW clients · 55 to 75Aug 25, 2022 to Mar 31, 2023
- Individual clients · 227 to 142Aug 25, 2022 to Mar 31, 2023
- Pension plan clients · 28 to 22Aug 25, 2022 to Mar 31, 2023
- Assets in custody · 2484000.0 to unsetAug 25, 2022 to Mar 31, 2023
Signals
3 dated events
- Shane Cory Colquette (Member) no longer on Schedule A of Southbridge Advisors, Llc (listed 2019-12-24, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Southbridge Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 24, 2019 · Succession (Item 4) · fact
- Southbridge Advisors, Llc filed its initial SEC registration (Form ADV)Nov 11, 2019 · 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 email
- hello@southbridgeadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jerry@southbridgeadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- rob@southbridgeadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- todd@southbridgeadv.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-436-4097reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-578-9400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-797-8693reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SOUTHBRIDGEADV.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-797-8693reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- southbridgeadv.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- southbridgeadv.com/our-teamreportedpublished 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
- $58.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026