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
D•••• W••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Nov 16, 2021 · 11 filings
SEC status approved since Dec 16, 2021
RAUM
$202M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$201M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$202M as of Mar 5, 2026
Mar 29, 2022$150M then
HNW client RAUM$142M as of Mar 5, 2026
Mar 29, 2022$101M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 29, 20221 then
Employees (5.A)2 as of Mar 5, 2026
Mar 29, 20222 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $307,445derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $12.5M, 17 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
- is an insurance broker or agent (6.A.6)
- 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$142M71%
- Individuals$58.9M29%
- Corporations and businesses$308,0590.2%
- Charitable organizations$87,4010.0%
- Individual clients
- 128reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 656reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $180M managedreported
- Custody of client assets
- $12.5M for 17 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• S••••• D••••Certified Financial Planner, Chartered Financial Consultant | Alpharetta, Ga | Jan 4, 2022 | 36 y | 2 |
| K••••• M•••• B••••• | Alpharetta, Ga | Sep 27, 2022 | 11 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
none on the tape
Joined, latest
- K••••• M•••• B••••• from W•••• F•••• A•••••••Sep 27, 2022 · Wirehouse to independent RIA
- M••• S••••• D•••• from W•••• F•••• A•••••••Jan 4, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Mar 23, 2022 · Alpharetta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M•••• S••••• · Managing Principal / Ccocontrolsince 11/2021 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 622 to 656Feb 7, 2025 to Mar 5, 2026
- HNW clients · 59 to 62Feb 7, 2025 to Mar 5, 2026
- Individual clients · 122 to 128Feb 7, 2025 to Mar 5, 2026
- Assets in custody · $11.5M to $12.5MFeb 7, 2025 to Mar 5, 2026
- Discretionary RAUM · $154M to $180MFeb 7, 2025 to Mar 5, 2026
- HNW RAUM · $120M to $142MFeb 7, 2025 to Mar 5, 2026
- Individual RAUM · $55.5M to $58.9MFeb 7, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $21.7M to $21.9MFeb 7, 2025 to Mar 5, 2026
- RAUM · $176M to $202MFeb 7, 2025 to Mar 5, 2026
- Wrap assets (manager) · $0 to $180MFeb 7, 2025 to Mar 5, 2026
- Accounts · 604 to 622Feb 2, 2024 to Feb 7, 2025
- Advisory activities · 2 to 3Feb 2, 2024 to Feb 7, 2025
- HNW clients · 51 to 59Feb 2, 2024 to Feb 7, 2025
- Individual clients · 133 to 122Feb 2, 2024 to Feb 7, 2025
- Assets in custody · $5.2M to $11.5MFeb 2, 2024 to Feb 7, 2025
- Financial planning clients · 1-10 to 1-10Feb 2, 2024 to Feb 7, 2025
- Discretionary RAUM · $127M to $154MFeb 2, 2024 to Feb 7, 2025
- HNW RAUM · $99.6M to $120MFeb 2, 2024 to Feb 7, 2025
- Individual RAUM · $47.0M to $55.5MFeb 2, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $20.5M to $21.7MFeb 2, 2024 to Feb 7, 2025
- Pension RAUM · 516645.0 to unsetFeb 2, 2024 to Feb 7, 2025
- RAUM · $148M to $176MFeb 2, 2024 to Feb 7, 2025
- Accounts · 584 to 604Feb 21, 2023 to Feb 2, 2024
- HNW clients · 40 to 51Feb 21, 2023 to Feb 2, 2024
- Individual clients · 138 to 133Feb 21, 2023 to Feb 2, 2024
- Assets in custody · $2.5M to $5.2MFeb 21, 2023 to Feb 2, 2024
- Discretionary RAUM · $103M to $127MFeb 21, 2023 to Feb 2, 2024
- HNW RAUM · $71.0M to $99.6MFeb 21, 2023 to Feb 2, 2024
- Individual RAUM · $65.7M to $47.0MFeb 21, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $35.4M to $20.5MFeb 21, 2023 to Feb 2, 2024
- Pension RAUM · $1.4M to $516,645Feb 21, 2023 to Feb 2, 2024
- RAUM · $138M to $148MFeb 21, 2023 to Feb 2, 2024
- Accounts · 576 to 584Oct 6, 2022 to Feb 21, 2023
- Advisory employees · 1 to 2Oct 6, 2022 to Feb 21, 2023
- HNW clients · 44 to 40Oct 6, 2022 to Feb 21, 2023
- Individual clients · 113 to 138Oct 6, 2022 to Feb 21, 2023
- Assets in custody · $5.1M to $2.5MOct 6, 2022 to Feb 21, 2023
- Financial planning clients · 0 to 1-10Oct 6, 2022 to Feb 21, 2023
- State-registered IARs · 1 to 2Oct 6, 2022 to Feb 21, 2023
- Discretionary RAUM · $117M to $103MOct 6, 2022 to Feb 21, 2023
Signals
2 dated events
- 2 advisors left W•••• F•••• A••••••• (Alpharetta, GA) for D•••• W••••• M••••••••• L•• on the same dayMar 23, 2022 · Team lift-out · derived
- D•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 16, 2021 · 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
- 770-368-6033reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/80550403/admin/dashboardreportedpublic record, Form ADV, Sep 19, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 404-915-0128reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- d•••••••••.comreportedpublished 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026