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
P•••••••• W••••• S••••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Feb 17, 2022 · 17 filings
SEC status approved since Mar 22, 2022
RAUM
$316M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$305M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$63.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$316M as of Jul 9, 2026
Feb 13, 2023$180M then
HNW client RAUM$204M as of Jul 9, 2026
Feb 13, 2023$117M then
State-registered IARs (5.B.3)4 as of Jul 9, 2026
Feb 13, 20235 then
Employees (5.A)4 as of Jul 9, 2026
Feb 13, 20235 then
Private funds: no history
RAUM +25% over the last fiscal year+21% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jul 9, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $63.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $263,199derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $316MreportedItem 5.I
- Custody
- $21.1M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M65%
- Individuals$101M32%
- Corporations and businesses$10.2M3.2%
- Pension and profit-sharing plans$174,2520.1%
- Individual clients
- 324reported
- HNW clients
- 105reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 1,200reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $316M sponsored, $0 managedreported
- Custody of client assets
- $21.1M for 17 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• M•••••• F••••••••Certified Financial Planner | Marietta, Ga | Feb 14, 2018 | 19 y | 2 |
| C•••••• M••••••• D•••• | Marietta, Ga | Apr 20, 2022 | 26 y | 6 |
| A•••• K•••••••• K••••• | Marietta, Ga | Apr 20, 2022 | 25 y | 1 |
| C•••• R••• S••••••• | Marietta, Ga | May 5, 2022 | 32 y | 6 |
| A••••• A•••• G••••• | Marietta, Ga | Jul 28, 2025 | 10 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 headcount0 left over 36 months
Left, latest
- G•••••• F•••••• P••••• to I•• A•••••••• L••Aug 16, 2023 · RIA to RIA
Joined, latest
- C•••• R••• S••••••• from I••••• F•••••••• C•••••••••May 5, 2022 · Other
- C•••••• M••••••• D•••• from L•• F•••••••• L••Apr 20, 2022 · RIA to a newly registered adviser
- A•••• K•••••••• K••••• from I••••• F•••••••• C•••••••••Apr 20, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••• F•••••••• C•••••••••Feb 14, 2018 · Appleton, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••••• M••••••• · Partnercontrolsince 05/2005 · owns 50% to 75%
- S•••••••• C••••• R••• · Partner And Chief Compliance Officercontrolsince 05/2005 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Marietta, Ga · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Jul 9, 2026hourly charges (Item 5.E.2): no on the filing of 2026-06-01, yes on the filing of 2026-07-09peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Feb 18, 2026accounts (Item 5.F.2.f) moved from 381.0 to 1,200.0 (+215.0%) between the annual amendments of 2025-02-18 and 2026-02-18; the peer median change was +5.0% (3687 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 381 to 1,200Feb 18, 2025 to Feb 18, 2026
- Advisory employees · 5 to 4Feb 18, 2025 to Feb 18, 2026
- BD registered reps · 5 to 4Feb 18, 2025 to Feb 18, 2026
- Corporate clients · unset to 12.0Feb 18, 2025 to Feb 18, 2026
- HNW clients · 118 to 105Feb 18, 2025 to Feb 18, 2026
- Individual clients · 263 to 324Feb 18, 2025 to Feb 18, 2026
- Pension plan clients · unset to 1.0Feb 18, 2025 to Feb 18, 2026
- Assets in custody · $3.9M to $21.1MFeb 18, 2025 to Feb 18, 2026
- Employees · 5 to 4Feb 18, 2025 to Feb 18, 2026
- State-registered IARs · 5 to 4Feb 18, 2025 to Feb 18, 2026
- Discretionary RAUM · $254M to $316MFeb 18, 2025 to Feb 18, 2026
- HNW RAUM · $182M to $204MFeb 18, 2025 to Feb 18, 2026
- Individual RAUM · $71.2M to $101MFeb 18, 2025 to Feb 18, 2026
- Pension RAUM · unset to 174252.0Feb 18, 2025 to Feb 18, 2026
- RAUM · $254M to $316MFeb 18, 2025 to Feb 18, 2026
- Wrap assets (sponsor) · $254M to $316MFeb 18, 2025 to Feb 18, 2026
- Accounts · 872 to 381Jun 13, 2024 to Feb 18, 2025
- HNW clients · 219 to 118Jun 13, 2024 to Feb 18, 2025
- Individual clients · 352 to 263Jun 13, 2024 to Feb 18, 2025
- Assets in custody · $3.4M to $3.9MJun 13, 2024 to Feb 18, 2025
- Financial planning clients · 1-10 to 1-10Jun 13, 2024 to Feb 18, 2025
- Discretionary RAUM · $224M to $254MJun 13, 2024 to Feb 18, 2025
- HNW RAUM · $162M to $182MJun 13, 2024 to Feb 18, 2025
- Individual RAUM · $61.7M to $71.2MJun 13, 2024 to Feb 18, 2025
- RAUM · $224M to $254MJun 13, 2024 to Feb 18, 2025
- Wrap assets (sponsor) · $224M to $254MJun 13, 2024 to Feb 18, 2025
- Accounts · 898 to 872Oct 25, 2023 to Feb 1, 2024
- HNW clients · 117 to 219Oct 25, 2023 to Feb 1, 2024
- Individual clients · 301 to 352Oct 25, 2023 to Feb 1, 2024
- Assets in custody · $3.2M to $3.4MOct 25, 2023 to Feb 1, 2024
- Discretionary RAUM · $180M to $224MOct 25, 2023 to Feb 1, 2024
- HNW RAUM · $117M to $162MOct 25, 2023 to Feb 1, 2024
- Individual RAUM · $62.4M to $61.7MOct 25, 2023 to Feb 1, 2024
- RAUM · $180M to $224MOct 25, 2023 to Feb 1, 2024
- Wrap assets (sponsor) · $180M to $224MOct 25, 2023 to Feb 1, 2024
- Other offices · 1 to 0Jul 18, 2023 to Aug 16, 2023
- Assets in custody · $1.6M to $3.2MFeb 13, 2023 to Jun 1, 2023
- Related insurance company · true to falseFeb 13, 2023 to Jun 1, 2023
- Wrap assets (sponsor) · $180M to $180MFeb 13, 2023 to Jun 1, 2023
- Accounts · 858 to 898Nov 11, 2022 to Feb 13, 2023
Signals
2 dated events
- G•••••• F•••••• P••••• left P•••••••• W••••• S••••••••• L•• for I•• A•••••••• L•• (registered 2023-08-21)Aug 16, 2023 · Advisor changed firm · fact
- P•••••••• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Feb 17, 2022 · 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
- teampws@pwsatlanta.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 770-971-4142reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- pwsatlanta.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-971-4142reportedpublic record, Form ADV, Jul 9, 2026
- Contact form
- pwsatlanta.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $63.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026