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
C••••• C•••••• G••••• I•••
Latest filing Mar 30, 2024
First filing on the tape Nov 26, 2020 · 21 filings
RAUM
$22.4M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$22.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$22.4M as of Mar 30, 2024
Mar 30, 2022$3.3B then
HNW client RAUM$21.4M as of Mar 30, 2024
Mar 30, 2022$1.0B then
State-registered IARs (5.B.3)2 as of Mar 30, 2024
Mar 30, 20223 then
Employees (5.A)2 as of Mar 30, 2024
Mar 30, 20225 then
Private funds: no history
RAUM -99% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 30, 2024; every figure names its basis
- RAUM per advisor
- $11.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $801,257derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -72%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$21.4M95%
- Individuals$1.0M4.5%
- Individual clients
- 2reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 28reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- C••••••• C••••••• A••••• to B••••• G••••• A•••• M•••••••••Apr 24, 2024 · RIA to RIA
- J•••• G• B••••• to L•• I••••••••• L••Apr 18, 2023 · RIA to RIA
- T••••• M•••••• B•••••••• to C••••• C•••••• A•••••••• L••Oct 20, 2021 · RIA to RIA
Joined, latest
- C••••••• C••••••• A••••• from C•••••••• A•••• M••••••••• L••Aug 4, 2022 · Other
- T••••• M•••••• B•••••••• from F•• S••••••••• C•••••••••May 27, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••• L•••••• from B•••• W•••••• L••May 10, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• K••••••• S••••• · Chief Executive Officercontrolsince 02/2023 · owns less than 5%
- J••••••• K••••••• R• · Chief Operating Officercontrolsince 09/2022 · owns less than 5%
- P••••• S••••••• D••• · Ccocontrolsince 02/2023 · owns less than 5%
- R•••• A•••••• · Chief Financial Officercontrolsince 11/2020 · owns less than 5%
- W•••••• J•••••• W•••••• · Shareholdercontrolsince 04/2021 · owns 50% to 75% of C••••• C•••••••• H•••••••• I•••
Entity owners
- C••••• H••••••• U•• L•• · Shareholderdirect · owns 75% or more
- C••••• C•••••••• H•••••••• I••• · Shareholderindirect · owns 75% or more of C••••• H••••••• U•• L••
Related persons
Schedule D 7.A
- C••••• C•••••• A•••••••• L••investment advisernRAUM $124M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 0 | 0 | 0 | ||
| Miami, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 82 to 28Mar 29, 2023 to Mar 30, 2024
- Advisory employees · 4 to 2Mar 29, 2023 to Mar 30, 2024
- Charity clients · 15.0 to unsetMar 29, 2023 to Mar 30, 2024
- HNW clients · 27 to 16Mar 29, 2023 to Mar 30, 2024
- Individual clients · 38 to 2Mar 29, 2023 to Mar 30, 2024
- Employees · 5 to 2Mar 29, 2023 to Mar 30, 2024
- Insurance-licensed employees · 3 to 0Mar 29, 2023 to Mar 30, 2024
- Financial planning clients · 51-100 to 1-10Mar 29, 2023 to Mar 30, 2024
- State-registered IARs · 3 to 2Mar 29, 2023 to Mar 30, 2024
- Discretionary RAUM · $102M to $21.1MMar 29, 2023 to Mar 30, 2024
- HNW RAUM · $808M to $21.4MMar 29, 2023 to Mar 30, 2024
- Individual RAUM · $8.8M to $1.0MMar 29, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $2.5B to $1.3MMar 29, 2023 to Mar 30, 2024
- RAUM · $2.6B to $22.4MMar 29, 2023 to Mar 30, 2024
- Accounts · 123 to 82Feb 28, 2023 to Mar 29, 2023
- Individual clients · 36 to 38Feb 28, 2023 to Mar 29, 2023
- Discretionary RAUM · $131M to $102MFeb 28, 2023 to Mar 29, 2023
- HNW RAUM · $1.0B to $808MFeb 28, 2023 to Mar 29, 2023
- Individual RAUM · $8.9M to $8.8MFeb 28, 2023 to Mar 29, 2023
- Non-discretionary RAUM · $3.1B to $2.5BFeb 28, 2023 to Mar 29, 2023
- RAUM · $3.3B to $2.6BFeb 28, 2023 to Mar 29, 2023
- Other offices · 0 to 1Mar 30, 2022 to Jul 7, 2022
- Accounts · 110 to 123Feb 17, 2022 to Mar 30, 2022
- Advisory employees · 1 to 4Feb 17, 2022 to Mar 30, 2022
- HNW clients · 26 to 27Feb 17, 2022 to Mar 30, 2022
- Individual clients · 33 to 36Feb 17, 2022 to Mar 30, 2022
- Employees · 8 to 5Feb 17, 2022 to Mar 30, 2022
- Discretionary RAUM · $103M to $131MFeb 17, 2022 to Mar 30, 2022
- HNW RAUM · $935M to $1.0BFeb 17, 2022 to Mar 30, 2022
- Individual RAUM · $7.8M to $8.9MFeb 17, 2022 to Mar 30, 2022
- Non-discretionary RAUM · $2.8B to $3.1BFeb 17, 2022 to Mar 30, 2022
- RAUM · $2.9B to $3.3BFeb 17, 2022 to Mar 30, 2022
- Accounts · 0 to 110Mar 1, 2021 to Mar 8, 2021
- Advisory activities · 4 to 6Mar 1, 2021 to Mar 8, 2021
- Charity clients · unset to 15.0Mar 1, 2021 to Mar 8, 2021
- HNW clients · unset to 26.0Mar 1, 2021 to Mar 8, 2021
- Individual clients · unset to 33.0Mar 1, 2021 to Mar 8, 2021
- Employees · 3 to 8Mar 1, 2021 to Mar 8, 2021
- Insurance-licensed employees · 0 to 3Mar 1, 2021 to Mar 8, 2021
- Financial planning clients · 0 to 51-100Mar 1, 2021 to Mar 8, 2021
Signals
16 dated events
- Kendall Savage Borchardt no longer registered at C••••• C•••••• G••••• I•••; no later IA registration on IAPDJun 20, 2024 · Advisor departure · fact
- C••••••• C••••••• A••••• left C••••• C•••••• G••••• I••• for B••••• G••••• A•••• M••••••••• (registered 2026-01-05)Apr 24, 2024 · Advisor changed firm · fact
- C••••• C•••••• G••••• I••• reported RAUM $22.4M, down 99% from $2.6B (2023-03-29 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- J•••• G• B••••• left C••••• C•••••• G••••• I••• for L•• I••••••••• L•• (registered 2023-03-16)Apr 18, 2023 · Advisor changed firm · fact
- C•••••• L•••••• (Chief Executive Officer) no longer on Schedule A of C••••• C•••••• G••••• I••• (listed 2023-01-13, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Scott Jonathan Hurd (Chief Compliance Officer) no longer on Schedule A of C••••• C•••••• G••••• I••• (listed 2023-01-13, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Dain Stephen Philp (Cco) appeared on Schedule A of C••••• C•••••• G••••• I•••Feb 28, 2023 · Control person joined · fact
- R Kenneth Jackson (Chief Operating Officer) appeared on Schedule A of C••••• C•••••• G••••• I•••Jan 13, 2023 · Control person joined · fact
- B Tomika King (Chief Operating Officer | Chief Compliance Officer) no longer on Schedule A of C••••• C•••••• G••••• I••• (listed 2021-06-24, absent 2021-10-01)Oct 1, 2021 · Control person left · inference
- Scott Jonathan Hurd (Chief Compliance Officer) appeared on Schedule A of C••••• C•••••• G••••• I•••Oct 1, 2021 · Control person joined · fact
- B Tomika King (Chief Operating Officer | Chief Compliance Officer) appeared on Schedule A of C••••• C•••••• G••••• I•••May 26, 2021 · Control person joined · fact
- Bryan Charles Wood (Cco) no longer on Schedule A of C••••• C•••••• G••••• I••• (listed 2021-03-26, absent 2021-05-26)May 26, 2021 · Control person left · inference
- Savage Kendall Borchardt (Secretary) appeared on Schedule A of C••••• C•••••• G••••• I•••Mar 8, 2021 · Control person joined · fact
- C•••••• L•••••• (Chief Executive Officer) appeared on Schedule A of C••••• C•••••• G••••• I•••Mar 8, 2021 · Control person joined · fact
- A•••••• R••• (Chief Financial Officer) appeared on Schedule A of C••••• C•••••• G••••• I•••Mar 8, 2021 · Control person joined · fact
- C••••• C•••••• G••••• I••• filed its initial SEC registration (Form ADV)Nov 26, 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.
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