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
A••••
Legal name A••• A••••••• L••
Latest filing Jul 24, 2026
First filing on the tape Nov 21, 2022 · 23 filings
SEC status approved since Sep 28, 2023
RAUM
$154M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
99%
$152M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$19.2M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$154M as of Jul 24, 2026
Mar 19, 2024$13,408 then
HNW client RAUM$136M as of Jul 24, 2026
Mar 26, 2025$34.7M then
State-registered IARs (5.B.3)3 as of Jul 24, 2026
Mar 19, 20241 then
Employees (5.A)8 as of Jul 24, 2026
Mar 19, 20246 then
Private funds1 as of Jul 24, 2026
Jul 8, 20251 then
RAUM +294% over the last fiscal yearIARs 3 to 3offices 0 to 7
Practice profile
derived from the filing of Jul 24, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $19.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $19.5MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%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
- 1.0derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +294%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $38.6M, 48 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$136M89%
- Individuals$15.8M10%
- Pooled investment vehicles$1.7M1.1%
- Corporations and businesses$54,2840.0%
- Individual clients
- 40reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 52reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.6M for 48 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A•••• P••••••••• | Frisco, Tx | Jan 3, 2024 | 10 y | 3 |
| C••• R••• T•••••• | Wynnewood, Pa | Apr 3, 2024 | 12 y | 1 |
| K••••••• D•••• M••••• | El Segundo, Ca | Jul 11, 2025 | 13 y | 2 |
| A••• G•••••• G•••••••• | Frisco, Tx | Sep 4, 2025 | 12 y | 3 |
| W•••• G•••••••• | Wellington, Fl | Sep 19, 2025 | 20 y | 1 |
| S••••• M•••••••••Certified Financial Planner | Frisco, Tx | Jun 29, 2026 | 11 y | 0 |
| S•••• E•••••••• S••••• | Frisco, Tx | Jul 24, 2026 | 10 y | 1 |
| M••••• M• F••••• | Lehigh Acres, Fl | Sep 8, 2026 | 12 y | 2 |
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 25% of current headcount4 left over 36 months
Left, latest
- J••••• D••••• M•••• to C••••• P••••••• L••May 1, 2026 · RIA to RIA
- E••• A•••• H•••••• to C•••••• W••••• M••••••••• L••Jan 30, 2026 · Other
- H•••••• M•••••••• M••••• to M••••• G••••• A••••••• I•••Apr 29, 2025 · RIA to RIA
- W•••••• C••• C••••••• to F••••• W••••• M••••••••• L•••Dec 5, 2024 · RIA to RIA
Joined, latest
- M••••• M• F••••• from A••••••••• F•••••••• S•••••••• L••Sep 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••• E•••••••• S••••• from P•••••••• • A••••••• I••Jul 24, 2026 · RIA to RIA
- W•••• G•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 19, 2025 · Wirehouse to independent RIA
- A••• G•••••• G•••••••• from S••••••••• L••Sep 4, 2025 · Other
- K••••••• D•••• M••••• from 4• F••••••••Jul 11, 2025 · RIA to RIA
- J••••• D••••• M•••• from O•••••••• F•••••••• S••••••• L••May 23, 2025 · RIA to RIA
- H•••••• M•••••••• M••••• from M•• C•••••• M••••••••• L••Sep 17, 2024 · RIA to RIA
- W•••••• C••• C••••••• from S•••••• H•••• • J•••• I••Apr 3, 2024 · RIA to RIA
- C••• R••• T•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 3, 2024 · Wirehouse to independent RIA
- J••••• A•••• P••••••••• from L•••Jan 3, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• M•••••••• S•••• G••••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- H••••••• T•••••• F•••••• · Ceo And Ciocontrolsince 11/2022 · owns less than 5%
- H••••••• T•••••• F•••••• · Shareholder (Voting Common)controlsince 08/2020 · owns 25% to 50% of A•••• F•••••••• S•••••••• I•••
Entity owners
- A•••• F•••••••• S•••••••• I••• · Sole Memberdirect · owns 75% or more
- L•• P••••••• F•••• L••• · Shareholder (Series Seed-1 Preferred)indirect · owns 75% or more of A•••• F•••••••• S•••••••• I•••
- L••••••••• V•••••• P••••••• X•••• L••• · Shareholder (Series A Preferred)indirect · owns 50% to 75% of A•••• F•••••••• S•••••••• I•••
Related persons
Schedule D 7.A
- A••• M•••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Frisco, Tx | 8 | 4 | 1 | ||
| Fenton, Mi | 0 | 0 | 0 | ||
| Sneads Ferry, Nc | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 14, 2026discretionary share of RAUM moved from 100.0% to 26.0% between the annual amendments of 2025-03-26 and 2026-04-14peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 84 to 52Jan 30, 2026 to Mar 30, 2026
- HNW clients · 15 to 7Jan 30, 2026 to Mar 30, 2026
- Individual clients · 18 to 40Jan 30, 2026 to Mar 30, 2026
- Pooled vehicle clients · unset to 1.0Jan 30, 2026 to Mar 30, 2026
- Assets in custody · $0 to $38.6MJan 30, 2026 to Mar 30, 2026
- Financial planning clients · 26-50 to 51-100Jan 30, 2026 to Mar 30, 2026
- Other offices · 6 to 7Jan 30, 2026 to Mar 30, 2026
- Discretionary RAUM · $23.4M to $40.3MJan 30, 2026 to Mar 30, 2026
- HNW RAUM · $116M to $136MJan 30, 2026 to Mar 30, 2026
- Individual RAUM · $4.9M to $15.8MJan 30, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $98.0M to $114MJan 30, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · unset to 1730731.0Jan 30, 2026 to Mar 30, 2026
- RAUM · $121M to $154MJan 30, 2026 to Mar 30, 2026
- Assets in custody · unset to 0.0Aug 19, 2025 to Oct 9, 2025
- Custody of client assets · false to trueAug 19, 2025 to Oct 9, 2025
- Other offices · 0 to 6Jul 8, 2025 to Aug 19, 2025
- Advisory activities · 1 to 3May 23, 2025 to Jul 8, 2025
- Financial planning clients · 26-50 to 26-50May 23, 2025 to Jul 8, 2025
- Private funds · unset to 1May 23, 2025 to Jul 8, 2025
- Accounts · 38 to 84Mar 26, 2025 to May 23, 2025
- Business name · A••• A••••••• to A••••Mar 26, 2025 to May 23, 2025
- Charity clients · 0.0 to unsetMar 26, 2025 to May 23, 2025
- Corporate clients · 0.0 to unsetMar 26, 2025 to May 23, 2025
- HNW clients · 22 to 15Mar 26, 2025 to May 23, 2025
- Individual clients · 16 to 18Mar 26, 2025 to May 23, 2025
- Pension plan clients · 0.0 to unsetMar 26, 2025 to May 23, 2025
- Pooled vehicle clients · 0.0 to unsetMar 26, 2025 to May 23, 2025
- Discretionary RAUM · $39.1M to $23.4MMar 26, 2025 to May 23, 2025
- HNW RAUM · $34.7M to $116MMar 26, 2025 to May 23, 2025
- Individual RAUM · $4.3M to $4.9MMar 26, 2025 to May 23, 2025
- Non-discretionary RAUM · $0 to $98.0MMar 26, 2025 to May 23, 2025
- RAUM · $39.1M to $121MMar 26, 2025 to May 23, 2025
- Accounts · 18 to 38Sep 16, 2024 to Mar 26, 2025
- Advisory employees · 3 to 5Sep 16, 2024 to Mar 26, 2025
- BD registered reps · 1 to 0Sep 16, 2024 to Mar 26, 2025
- Charity clients · unset to 0.0Sep 16, 2024 to Mar 26, 2025
- Corporate clients · unset to 0.0Sep 16, 2024 to Mar 26, 2025
- HNW clients · unset to 22.0Sep 16, 2024 to Mar 26, 2025
- Individual clients · 18 to 16Sep 16, 2024 to Mar 26, 2025
- Pension plan clients · unset to 0.0Sep 16, 2024 to Mar 26, 2025
Signals
6 dated events
- J••••• D••••• M•••• left Atlas for C••••• P••••••• L•• (registered 2026-05-12)May 1, 2026 · Advisor changed firm · fact
- E••• A•••• H•••••• left Atlas for C•••••• W••••• M••••••••• L•• (registered 2026-02-13)Jan 30, 2026 · Advisor changed firm · fact
- Atlas reported 6 offices beyond its principal office, up from 0 (2025-07-08 to 2025-08-19)Aug 19, 2025 · Office count change · derived
- H•••••• M•••••••• M••••• left Atlas for M••••• G••••• A••••••• I••• (registered 2025-05-13)Apr 29, 2025 · Advisor changed firm · fact
- W•••••• C••• C••••••• left Atlas for F••••• W••••• M••••••••• L••• (registered 2025-02-19)Dec 5, 2024 · Advisor changed firm · fact
- A••• A••••••• filed its initial SEC registration (Form ADV)Nov 21, 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 phone
- 805-557-8713reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- atlasfinancial.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 805-557-8713reportedpublic record, Form ADV, Jul 24, 2026
- Team page
- atlasfinancial.com/teamreportedpublished 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
- $19.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026