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.

SEC-registered adviser

Globalt Investments

Independent wealth managerAtlanta, GeorgiaCRD 328039SEC 801-129022websiteIAPD
Legal name Globalt Investments LLC
Latest filing Apr 14, 2026
First filing on the tape Oct 6, 2023 · 10 filings
SEC status approved since Nov 6, 2023
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$2.3B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$252M
derived; firm RAUM over IAPD count
Employees
18
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$3.0B as of Apr 14, 2026
Mar 27, 2024$2.7B then
HNW client RAUM$1.6B as of Apr 14, 2026
Mar 27, 2024$1.2B then
State-registered IARs (5.B.3)12 as of Apr 14, 2026
Mar 27, 202412 then
Employees (5.A)18 as of Apr 14, 2026
Mar 27, 202418 then
Private funds: no history
RAUM +7.5% over the last fiscal yearIARs 12 to 12
Practice profile
derived from the filing of Apr 14, 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
RAUM per advisor
$252MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
255derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$930,357derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.9%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • 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$1.6B52%
  • Individuals$721M24%
  • Corporations and businesses$239M7.9%
  • State and municipal entities$230M7.6%
  • Charitable organizations$192M6.4%
  • Pension and profit-sharing plans$81.6M2.7%
Individual clients
2,335reported
HNW clients
727reported
Pension plan clients
15reported
Charitable clients
75reported
Accounts
3,248reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $2.6B managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.75 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Cheryl Wattenbarger LavetteAtlanta, GaNov 6, 202326 y3
Jairus Keith BuchananChartered Financial AnalystAtlanta, GaNov 8, 202312 y3
William Henry RoachAtlanta, GaNov 20, 202340 y3
Kimberly Dawn WoodyAtlanta, GaNov 20, 202329 y2
Thomas Andrew MartinChartered Financial AnalystAtlanta, GaNov 20, 202343 y2
Gary Edward FullamChartered Financial AnalystAtlanta, GaNov 20, 202335 y2
Annette Michelle MarshallAtlanta, GaNov 20, 202332 y3
James Gordon KishAtlanta, GaNov 20, 202327 y3
William Gregory LeftwichAtlanta, GaDec 1, 202332 y2
Marc Otha SydnorAtlanta, GaDec 1, 202333 y2
Drake John CraigChartered Financial AnalystAtlanta, GaDec 1, 202336 y2
Veronica Ann FultonChartered Financial AnalystAtlanta, GaJan 9, 202410 y0
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
    none on the tape
      Every departureEvery arrival
      Teams: two or more advisors moving together within fourteen days, from one state
        Teams outTeams in
        Private funds
        No private fund reported.
        Owners and control persons
        Schedule A and B, latest filing
        • Keith Jairus Buchanan · Managing Member, Board Membercontrol
          since 10/2023 · owns 5% to 10%
        • John Drake Craig · Managing Member, Chief Operating Officercontrol
          since 10/2023 · owns 10% to 25%
        • Edward Gary Fullam · Managing Member, Chief Investment Officercontrol
          since 10/2023 · owns 25% to 50%
        • Andrew Thomas Martin · Managing Member, Board Membercontrol
          since 10/2023 · owns 10% to 25%
        • Henry William Roach · Managing Member, Ceo And Presidentcontrol
          since 10/2023 · owns 25% to 50%
        • Dawn Kimberly Woody · Managing Member, Board Membercontrol
          since 10/2023 · owns 10% to 25%
        • Michelle Annette Marshall · Chief Compliance Officer
          since 10/2023 · owns less than 5%
        Related persons
        Schedule D 7.A
        No related person reported.
        Office movement
        IAPD branch city; joins and departures in 12 months
        OfficeAdvisorsJoinedLeftTeams outForming
        Atlanta, Ga · principal1200
        Offices
        Schedule D 1.F, the 25 largest
        No branch office listed.
        What changed
        consecutive filings, newest first
        • Accounts · 3,521 to 3,248
          Nov 6, 2025 to Mar 26, 2026
        • Charity clients · 78 to 75
          Nov 6, 2025 to Mar 26, 2026
        • Corporate clients · 99 to 91
          Nov 6, 2025 to Mar 26, 2026
        • HNW clients · 663 to 727
          Nov 6, 2025 to Mar 26, 2026
        • Individual clients · 2,661 to 2,335
          Nov 6, 2025 to Mar 26, 2026
        • Discretionary RAUM · $2.8B to $3.0B
          Nov 6, 2025 to Mar 26, 2026
        • HNW RAUM · $1.3B to $1.6B
          Nov 6, 2025 to Mar 26, 2026
        • Individual RAUM · $763M to $721M
          Nov 6, 2025 to Mar 26, 2026
        • Pension RAUM · $80.1M to $81.6M
          Nov 6, 2025 to Mar 26, 2026
        • RAUM · $2.8B to $3.0B
          Nov 6, 2025 to Mar 26, 2026
        • Wrap assets (manager) · $2.2B to $2.6B
          Nov 6, 2025 to Mar 26, 2026
        • Financial planning clients · 0 to 0
          Jul 1, 2025 to Nov 6, 2025
        • Accounts · 3,887 to 3,521
          Nov 18, 2024 to Mar 28, 2025
        • Charity clients · 80 to 78
          Nov 18, 2024 to Mar 28, 2025
        • Corporate clients · 115 to 99
          Nov 18, 2024 to Mar 28, 2025
        • HNW clients · 599 to 663
          Nov 18, 2024 to Mar 28, 2025
        • Individual clients · 3,070 to 2,661
          Nov 18, 2024 to Mar 28, 2025
        • Pension plan clients · 20 to 15
          Nov 18, 2024 to Mar 28, 2025
        • Discretionary RAUM · $2.7B to $2.8B
          Nov 18, 2024 to Mar 28, 2025
        • HNW RAUM · $1.2B to $1.3B
          Nov 18, 2024 to Mar 28, 2025
        • Individual RAUM · $820M to $763M
          Nov 18, 2024 to Mar 28, 2025
        • Pension RAUM · $86.9M to $80.1M
          Nov 18, 2024 to Mar 28, 2025
        • RAUM · $2.7B to $2.8B
          Nov 18, 2024 to Mar 28, 2025
        • Wrap assets (manager) · $1.7B to $2.2B
          Nov 18, 2024 to Mar 28, 2025
        • Accounts · 4,067 to 3,887
          Dec 22, 2023 to Mar 27, 2024
        • Advisory employees · 19 to 18
          Dec 22, 2023 to Mar 27, 2024
        • Corporate clients · 126 to 115
          Dec 22, 2023 to Mar 27, 2024
        • Individual clients · 3,239 to 3,070
          Dec 22, 2023 to Mar 27, 2024
        • Employees · 19 to 18
          Dec 22, 2023 to Mar 27, 2024
        • Discretionary RAUM · $2.6B to $2.7B
          Dec 22, 2023 to Mar 27, 2024
        • HNW RAUM · $1.2B to $1.2B
          Dec 22, 2023 to Mar 27, 2024
        • Individual RAUM · $845M to $820M
          Dec 22, 2023 to Mar 27, 2024
        • Pension RAUM · $84.2M to $86.9M
          Dec 22, 2023 to Mar 27, 2024
        • RAUM · $2.6B to $2.7B
          Dec 22, 2023 to Mar 27, 2024
        • Wrap assets (manager) · $2.1B to $1.7B
          Dec 22, 2023 to Mar 27, 2024
        • Succession · true to false
          Oct 6, 2023 to Nov 20, 2023
        Signals
        3 dated events
        • Globalt Investments's advisors moved to Globalt Investments (Atlanta, GA): 11 of 11 registered, on the same day
          Dec 11, 2023 · Firm absorbed (people side) · derived
        • Globalt Investments reported succeeding to the business of Another Adviser (Form ADV Item 4)
          Oct 6, 2023 · Succession (Item 4) · fact
        • Globalt Investments filed its initial SEC registration (Form ADV)
          Oct 6, 2023 · 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
        info@globalt.comreportedpublished by the firm, firm site, Sep 15, 2026
        Business phone
        877-428-6956reportedpublished by the firm, firm site, Sep 15, 2026
        Business phone
        404-364-2188reportedpublished by the firm, firm site, Sep 15, 2026
        Firm profile
        linkedin.com/company/globalt-investments-atlantareportedpublic record, Form ADV, Sep 18, 2026
        Website
        globalt.comreportedpublic record, Form ADV, Sep 18, 2026
        Principal office phone
        404-364-2188reportedpublic record, Form ADV, Apr 14, 2026
        Contact form
        globalt.com/contactreportedpublished by the firm, firm site, Sep 15, 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
        $252Mderivedfirm RAUM over the IAPD count; not a book size
        Loaded
        Sep 14, 2026