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•••••• W•••••• L••
Latest filing Jun 15, 2026
First filing on the tape Jun 18, 2020 · 22 filings
SEC status approved since Jul 17, 2020
RAUM
$365M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$365M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$73.0M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$365M as of Jun 15, 2026
Feb 26, 2021$232M then
HNW client RAUM$323M as of Jun 15, 2026
Feb 26, 2021$200M then
State-registered IARs (5.B.3)4 as of Jun 15, 2026
Feb 26, 20213 then
Employees (5.A)6 as of Jun 15, 2026
Feb 26, 20216 then
Private funds: no history
RAUM +10% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 15, 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
- $73.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $494,797derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$323M88%
- Individuals$42.4M12%
- Individual clients
- 86reported
- HNW clients
- 130reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 738reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•• A•••••••• W••••••••Chartered Financial Consultant | Atlanta, Ga | Jul 31, 2020 | 26 y | 1 |
| A••• A••••••Certified Financial Planner | Atlanta, Ga | Jul 31, 2020 | 14 y | 3 |
| J•••• R••• H•••••••••Certified Financial Planner | Atlanta, Ga | Jan 12, 2021 | 10 y | 1 |
| T••••• M••••• M•••• | Atlanta, Ga | Apr 18, 2022 | 10 y | 1 |
| T•••• K•••••Certified Financial Planner | Atlanta, Ga | Jan 29, 2026 | 13 y | 0 |
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 headcount1 left over 36 months
Left, latest
- A•••••••• S• G•••••• to S•• W•••••Feb 29, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••••••• S• G•••••• from O••••••••• • C•• I•••Feb 23, 2023 · Affiliated broker-dealer or bank to independent RIA
- T••••• M••••• M•••• from A••••••••• F•••••••• S•••••••• L••Apr 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• R••• H••••••••• from A••••••••• F•••••••• S•••••••• L••Jan 12, 2021 · Affiliated broker-dealer or bank to independent RIA
- I•• A•••••••• W•••••••• from A••••••••• F•••••••• S•••••••• L••Jul 31, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• A•••••• from A••••••••• F•••••••• S•••••••• L••Jul 31, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from A••••••••• F•••••••• S•••••••• L••Aug 3, 2020 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• A••• · Chief Operating Officer And Managercontrolsince 07/2020 · owns 5% to 10%
- W••••••••• I••• A•••••••• · Chief Executive Officer And Managercontrolsince 07/2020 · owns 75% or more
- K••••••• J•••••••• G• · Chief Compliance Officersince 11/2021 · owns less than 5%
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 | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 729 to 738Nov 5, 2025 to Mar 3, 2026
- HNW clients · 109 to 130Nov 5, 2025 to Mar 3, 2026
- Individual clients · 109 to 86Nov 5, 2025 to Mar 3, 2026
- Discretionary RAUM · $331M to $365MNov 5, 2025 to Mar 3, 2026
- HNW RAUM · $276M to $323MNov 5, 2025 to Mar 3, 2026
- Individual RAUM · $54.8M to $42.4MNov 5, 2025 to Mar 3, 2026
- RAUM · $331M to $365MNov 5, 2025 to Mar 3, 2026
- Financial planning clients · 101-250 to 101-250Mar 12, 2025 to Jul 23, 2025
- Accounts · 718 to 729Oct 29, 2024 to Mar 12, 2025
- HNW clients · 96 to 109Oct 29, 2024 to Mar 12, 2025
- Individual clients · 120 to 109Oct 29, 2024 to Mar 12, 2025
- Employees · 7 to 6Oct 29, 2024 to Mar 12, 2025
- State-registered IARs · 5 to 4Oct 29, 2024 to Mar 12, 2025
- Discretionary RAUM · $295M to $331MOct 29, 2024 to Mar 12, 2025
- HNW RAUM · $233M to $276MOct 29, 2024 to Mar 12, 2025
- Individual RAUM · $62.6M to $54.8MOct 29, 2024 to Mar 12, 2025
- RAUM · $295M to $331MOct 29, 2024 to Mar 12, 2025
- Accounts · 698 to 718Jan 23, 2024 to Mar 4, 2024
- HNW clients · 91 to 96Jan 23, 2024 to Mar 4, 2024
- Individual clients · 114 to 120Jan 23, 2024 to Mar 4, 2024
- Employees · 6 to 7Jan 23, 2024 to Mar 4, 2024
- State-registered IARs · 4 to 5Jan 23, 2024 to Mar 4, 2024
- Discretionary RAUM · $245M to $295MJan 23, 2024 to Mar 4, 2024
- HNW RAUM · $192M to $233MJan 23, 2024 to Mar 4, 2024
- Individual RAUM · $53.5M to $62.6MJan 23, 2024 to Mar 4, 2024
- RAUM · $245M to $295MJan 23, 2024 to Mar 4, 2024
- Accounts · 663 to 698Mar 10, 2022 to Mar 1, 2023
- Advisory employees · 3 to 4Mar 10, 2022 to Mar 1, 2023
- HNW clients · 98 to 91Mar 10, 2022 to Mar 1, 2023
- Individual clients · 96 to 114Mar 10, 2022 to Mar 1, 2023
- Employees · 5 to 6Mar 10, 2022 to Mar 1, 2023
- State-registered IARs · 3 to 4Mar 10, 2022 to Mar 1, 2023
- Discretionary RAUM · $277M to $245MMar 10, 2022 to Mar 1, 2023
- HNW RAUM · $229M to $192MMar 10, 2022 to Mar 1, 2023
- Individual RAUM · $48.4M to $53.5MMar 10, 2022 to Mar 1, 2023
- RAUM · $277M to $245MMar 10, 2022 to Mar 1, 2023
- Accounts · 608 to 663Nov 22, 2021 to Mar 10, 2022
- HNW clients · 204 to 98Nov 22, 2021 to Mar 10, 2022
- Individual clients · 108 to 96Nov 22, 2021 to Mar 10, 2022
- Employees · 6 to 5Nov 22, 2021 to Mar 10, 2022
Signals
5 dated events
- A•••••••• S• G•••••• left R•••••• W•••••• L•• for S•• W••••• (registered 2025-02-19)Feb 29, 2024 · Advisor changed firm · fact
- Alexandre Ian Weinstein (Chief Executive Officer And Manager) appeared on Schedule A of R•••••• W•••••• L••Jul 31, 2020 · Control person joined · fact
- A••• A•••••• (Chief Compliance Officer, Chief Operating Officer And Manager) appeared on Schedule A of R•••••• W•••••• L••Jul 31, 2020 · Control person joined · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of R•••••• W•••••• L•• (listed 2020-07-07, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- A••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 18, 2020 · 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 phone
- 770-738-8200reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- regimenwealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 770-738-8200reportedpublic record, Form ADV, Jun 15, 2026
- Contact form
- regimenwealth.com/contact-usreportedpublished 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
- $73.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026