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
U•••••• I••••••••• M•••••••••
Legal name U•••••• I••••••••• M••••••••• L••
Latest filing Jan 28, 2026
First filing on the tape Mar 28, 2023 · 11 filings
SEC status approved since Apr 27, 2023
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.3M
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$151M as of Jan 28, 2026
Jan 19, 2024$110M then
HNW client RAUM$139M as of Jan 28, 2026
Jan 19, 2024$98.3M then
State-registered IARs (5.B.3)2 as of Jan 28, 2026
Jan 19, 20242 then
Employees (5.A)2 as of Jan 28, 2026
Jan 19, 20242 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 28, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $75.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $572,663derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M92%
- Individuals$11.5M7.6%
- Corporations and businesses$517,9520.3%
- Individual clients
- 45reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 263reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| R••• M•••• | Atlanta, Ga | Apr 27, 2023 | 16 y | 4 |
| D•••• T• W••••Chartered Financial Analyst | Atlanta, Ga | May 1, 2023 | 26 y | 4 |
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
- D•••• T• W•••• from M••••• G••••• A••••••• I•••May 1, 2023 · RIA to a newly registered adviser
- R••• M•••• from M••••• G••••• A••••••• I•••Apr 27, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• G••••• A••••••• I•••Mar 16, 2023 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• R••• · Managing Partnercontrolsince 03/2023 · owns 50% to 75%
- W••••• D••••• T• · Managing Partner And Chief Compliance Officercontrolsince 03/2023 · 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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jan 28, 2026financial planning (Item 5.G.1): no on the filing of 2025-08-01, yes on the filing of 2026-01-28peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 255 to 263Aug 1, 2025 to Jan 28, 2026
- Advisory activities · 2 to 3Aug 1, 2025 to Jan 28, 2026
- Corporate clients · 0 to 1Aug 1, 2025 to Jan 28, 2026
- HNW clients · 61 to 43Aug 1, 2025 to Jan 28, 2026
- Individual clients · 47 to 45Aug 1, 2025 to Jan 28, 2026
- Financial planning clients · to 26-50Aug 1, 2025 to Jan 28, 2026
- Discretionary RAUM · $136M to $151MAug 1, 2025 to Jan 28, 2026
- HNW RAUM · $125M to $139MAug 1, 2025 to Jan 28, 2026
- Individual RAUM · $10.9M to $11.5MAug 1, 2025 to Jan 28, 2026
- RAUM · $136M to $151MAug 1, 2025 to Jan 28, 2026
- Accounts · 202 to 255Jan 19, 2024 to Feb 10, 2025
- HNW clients · 32 to 61Jan 19, 2024 to Feb 10, 2025
- Individual clients · 19 to 47Jan 19, 2024 to Feb 10, 2025
- Pension plan clients · 1 to 0Jan 19, 2024 to Feb 10, 2025
- Financial planning clients · unset to Jan 19, 2024 to Feb 10, 2025
- Discretionary RAUM · $110M to $136MJan 19, 2024 to Feb 10, 2025
- HNW RAUM · $98.3M to $125MJan 19, 2024 to Feb 10, 2025
- Individual RAUM · $8.5M to $10.9MJan 19, 2024 to Feb 10, 2025
- Pension RAUM · $3.4M to $0Jan 19, 2024 to Feb 10, 2025
- RAUM · $110M to $136MJan 19, 2024 to Feb 10, 2025
- Accounts · 162 to 202Aug 28, 2023 to Jan 19, 2024
- HNW clients · 25 to 32Aug 28, 2023 to Jan 19, 2024
- Individual clients · 27 to 19Aug 28, 2023 to Jan 19, 2024
- Discretionary RAUM · $90.0M to $110MAug 28, 2023 to Jan 19, 2024
- HNW RAUM · $78.2M to $98.3MAug 28, 2023 to Jan 19, 2024
- Individual RAUM · $8.5M to $8.5MAug 28, 2023 to Jan 19, 2024
- Pension RAUM · $3.3M to $3.4MAug 28, 2023 to Jan 19, 2024
- RAUM · $90.0M to $110MAug 28, 2023 to Jan 19, 2024
- Accounts · 0 to 162Aug 7, 2023 to Aug 28, 2023
- Charity clients · unset to 0.0Aug 7, 2023 to Aug 28, 2023
- Corporate clients · unset to 0.0Aug 7, 2023 to Aug 28, 2023
- HNW clients · unset to 25.0Aug 7, 2023 to Aug 28, 2023
- Individual clients · unset to 27.0Aug 7, 2023 to Aug 28, 2023
- Pension plan clients · unset to 1.0Aug 7, 2023 to Aug 28, 2023
- Pooled vehicle clients · unset to 0.0Aug 7, 2023 to Aug 28, 2023
- Discretionary RAUM · $0 to $90.0MAug 7, 2023 to Aug 28, 2023
- HNW RAUM · unset to 78225275.0Aug 7, 2023 to Aug 28, 2023
- Individual RAUM · unset to 8469353.0Aug 7, 2023 to Aug 28, 2023
- Pension RAUM · unset to 3326622.0Aug 7, 2023 to Aug 28, 2023
- Pooled vehicle RAUM · unset to 0.0Aug 7, 2023 to Aug 28, 2023
Signals
2 dated events
- U•••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 28, 2023 · First SEC registration · fact
- 2 advisors left M••••• G••••• A••••••• I••• (Atlanta, GA) for U•••••• I••••••••• M••••••••• on the same dayMar 16, 2023 · Team lift-out · derived
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
- c••••••@u••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-920-4768reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- u••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (404) 920-4768reportedpublic record, Form ADV, Jan 28, 2026
- Contact form
- u••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- u••••••••.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
- $75.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026