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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Former SEC-registered adviser
S••••••••• F•••••••• S••••••• L••
Latest filing Mar 7, 2020
First filing on the tape Oct 14, 2019 · 8 filings
RAUM
$79.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$54.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$79.1M as of Mar 7, 2020
Oct 14, 2019$0 then
HNW client RAUM: $53.9M
State-registered IARs (5.B.3)2 as of Mar 7, 2020
Oct 14, 20191 then
Employees (5.A)4 as of Mar 7, 2020
Oct 14, 20191 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 7, 2020; every figure names its basis
- RAUM per advisor
- $39.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $459,750derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- participatesreportedItem 5.I
- Custody
- $7.7M, 2 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$53.9M68%
- Corporations and businesses$24.5M31%
- Charitable organizations$308,3810.4%
- Individuals$284,5560.4%
- Individual clients
- 3reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 172reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $7.7M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J••••••• F•••• T•••••• to A•••••• W••••• M••••••••• L••Jan 14, 2021 · RIA to RIA
- J•••• G• Y•••• to A•••••• W••••• M••••••••• L••Jan 14, 2021 · RIA to RIA
Joined, latest
- J••••••• F•••• T•••••• from R•••••• J•••• • A••••••••• I•••Jan 16, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• G• Y•••• from R•••••• J•••• • A••••••••• I•••Dec 18, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••••• W••••• M••••••••• L••Jan 14, 2021 · Atlanta, Ga
- 2 joined from R•••••• J•••• • A••••••••• I•••Dec 31, 2019 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• J•••••••• F•••• · Chief Compliance Officer And Senior Client Associatecontrolsince 02/2020 · owns less than 5%
- Y••••• J••••• G• · Principalcontrolsince 10/2019 · 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 · 0 to 172Feb 24, 2020 to Mar 7, 2020
- Advisory employees · 2 to 3Feb 24, 2020 to Mar 7, 2020
- HNW clients · unset to 17.0Feb 24, 2020 to Mar 7, 2020
- Individual clients · unset to 3.0Feb 24, 2020 to Mar 7, 2020
- Assets in custody · unset to 7694418.0Feb 24, 2020 to Mar 7, 2020
- Custody of client assets · false to trueFeb 24, 2020 to Mar 7, 2020
- Employees · 2 to 4Feb 24, 2020 to Mar 7, 2020
- Discretionary RAUM · $0 to $79.1MFeb 24, 2020 to Mar 7, 2020
- HNW RAUM · unset to 53936536.0Feb 24, 2020 to Mar 7, 2020
- Individual RAUM · unset to 284556.0Feb 24, 2020 to Mar 7, 2020
- RAUM · $0 to $79.1MFeb 24, 2020 to Mar 7, 2020
- BD registered reps · 0 to 1Feb 6, 2020 to Feb 24, 2020
- HQ city · BROOKHAVEN to ATLANTAFeb 6, 2020 to Feb 24, 2020
- Advisory employees · 1 to 2Oct 14, 2019 to Nov 13, 2019
- Employees · 1 to 2Oct 14, 2019 to Nov 13, 2019
- State-registered IARs · 1 to 2Oct 14, 2019 to Nov 13, 2019
- Wrap assets (manager) · unset to 0.0Oct 14, 2019 to Nov 13, 2019
- Wrap assets (sponsor) · unset to 0.0Oct 14, 2019 to Nov 13, 2019
- Business name · S••••••••• W••••• M••••••••• L•• to S••••••••• F•••••••• S••••••• L••Nov 13, 2019 to Nov 13, 2019
- Legal name · S••••••••• W••••• M••••••••• L•• to S••••••••• F•••••••• S••••••• L••Nov 13, 2019 to Nov 13, 2019
Signals
2 dated events
- Fanee Jennifer Thigpen (Chief Compliance Officer And Senior Client Associate) appeared on Schedule A of S••••••••• F•••••••• S••••••• L••Feb 24, 2020 · Control person joined · fact
- S••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 14, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026