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Georgia Specialty Finance is a investment adviser based in Johns Creek, GA, that holds a 82.4/100 Fidelon TransparencyScore (16th percentile among state-registered advisers), with 1 registered advisor. Score based on public SEC and FINRA filings.

82.4Transparency Score
Bottom16%
of state-registered advisers

Georgia Specialty Finance

A registered investment adviser with a clean regulatory record.

Johns Creek, GA
770-569-9429
Investment AdviserFiduciary
Prep Kit

Fidelon Fact Sheet

Georgia Specialty Finance CORPORATION is a state-registered investment adviser in Johns Creek, GA. It has one registered advisor. It charges a percentage of the money it manages for you, and it can also earn commissions when it sells you a product. Its services include investment newsletters. Its record shows no customer complaints, regulatory actions or fines.

82.4StrongBottom 16% of state-registered advisers
How they're paidPaid both ways — ask which applies to your account.
Fees · commissions
Duty to youLegally required to put your interests first.
Registered adviser · fiduciary
Assets under managementNot reported in the firm's latest filing.
Not reported
Firm size
1 advisor
Who holds your moneyThe firm reports it does not hold client funds.
No custody reported
Regulatory recordNo customer complaints, regulatory actions, or fines on file.
Clean — 0 disclosures
Based on live filings from SEC Form ADV and FINRA BrokerCheck. Scored using Fidelon's published methodology. Data as of Sep 2025

Peer Context

National

13,247th of 15,825

state-registered advisers

Bottom 16%

State

420th of 506

state-registered advisers in GA

Bottom 17%

Local

10th of 11

state-registered advisers in Johns creek, GA

Bottom 9%

Compare Georgia Specialty Finance to other firms in GA →Find more financial advisors in Georgia →

Key Findings

Strengths

  • Registered as investment adviser with fiduciary obligation
  • Clean regulatory record — no disclosures, arbitrations, or fines

Things You Should Know

  • Earns commissions when you buy certain products — may influence what gets recommended

Conflict Audit

Conflict AuditCaution

Our analysis identified 2 potential conflicts of interest in regulatory filings.

✓
Not registered as broker-dealer
⚠
Can earn commissions on product sales
✓
No outside compensation from related parties
✓
No related-party custodian
✓
No performance-based fees
⚠
Also sells insurance — can earn money beyond advisory fees

Source: Form ADV Part 1, Items 6-8; Part 2A, Items 10-14

Regulatory Events

Next Steps

This firm's score reflects some areas where disclosure could improve. Here's what that means for you.
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Advisor Roster

1 advisor

AdvisorScoreGrade
David Robert Rich——

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Frequently Asked Questions

What does the TransparencyScore measure?

The TransparencyScore measures how clearly and completely an advisor or firm discloses important information in their regulatory filings — things like fees, conflicts of interest, disciplinary history, and business practices. A higher score means better disclosure quality, not better investment performance.

Where does this data come from?

All data comes from public regulatory filings: SEC Form ADV (Parts 1, 2, and 3), FINRA BrokerCheck, and the SEC's Investment Adviser Public Disclosure (IAPD) database. These are official filings that firms and advisors are legally required to submit.

Does a low score mean they're a bad advisor?

Not necessarily. A low score means the firm's public filings are less transparent — they may use vague language about fees, skip details about conflicts, or have a more complex regulatory history. Some excellent advisors work at firms with poor disclosure practices. The score measures the filing, not the person.

How often is this data updated?

Fidelon refreshes data from SEC and FINRA sources on a regular schedule. Form ADV filings are updated annually by firms (with amendments throughout the year), and BrokerCheck data is updated as events are reported. Scores are recalculated after each data refresh.

Can an advisor or firm improve their score?

Yes. Scores are based on what's in public filings. A firm that rewrites its ADV brochure in clearer language, discloses conflicts more specifically, or resolves outstanding regulatory issues will see its score improve at the next refresh. The incentive structure is intentional.

Data Sources

SEC Form ADV Part 1 — Filed Jul 2010SEC Form ADV Part 2ASEC IAPDFINRA BrokerCheck

Scores are generated using Fidelon's published scoring methodology and reflect the quality of public disclosures, not the quality of investment advice. A firm that improves its disclosures will see its score improve. Fidelon does not provide investment advice.

Verify on SEC IAPD

Last scored: · Score version: 3.15 · CRD #153578