DFX Intelligence

S••••••••• W••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

S••••••••• W••••• P•••••••

CRD 283515

FRANKLIN, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 197
Dated events: 68
On other graphs: 0
Observed: Jun 7, 2016 to Jul 1, 2026
46 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $8.5B••• Locked
Discretionary RAUM: $8.5B
Private client RAUM: $8.4Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 125
RAUM per advisor: $67.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• G••• S••••	n/a	FRANKLIN, TN	10	20	2	no
J••• D••••• N•••	Certified Financial Planner	FRANKLIN, TN	10	24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• W••••••• B••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Jul 1, 2026	Jul 1, 2026
D•••••• J••••••• T•••••	PRESIDENT / CEO	Na	yes	07/2014	Jul 1, 2026	Jul 1, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Brentwood	Tn	United States	14	yes
Frisco	TX	United States	12	yes
Omaha	Ne	United States	10	yes
Homewood	Al	United States	6	yes
Knoxville	Tn	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
7	4	3	3.2%	1	0	0	25	28

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$8.5B	$6.5B	30.9%	$4.3B	25.7%	195	180	11	11

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
V•••••• F••••••••	2	Oct 1, 2024	Oct 8, 2024	FRANKLIN, TN	Team lift out	RIA to RIA	2.0%
S•••••• P••••••• I••••••••• A•••••••• L••	2	May 3, 2024	May 21, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• J•••• • A••••••••• I•••	2	Feb 10, 2025	Feb 3, 2025	WINTER PARK, FL	Team lift out	Ibd to RIA	0.0%
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	2	Apr 19, 2022

Relationships

showing 80 of 197

Registered with (76)

← T••••• E•••• N•••Advisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← J••••••• W••••••Advisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← K•••••••• A•••• F••••••••Advisorregistration: current employment
Jul 30, 2026 to presentfactForm ADV
← L••••• M•••••• W•••••••

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
27 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$2.0B
Occurred
1 Jul 2026
Ria indirect owner change
••• Locked
Form ADV
Occurred
1 Jul 2026
Ria office opened
••• Locked
Form ADV
Occurred
1 Jul 2026
Ria office closed
••• Locked
Form ADV
Occurred
31 May 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 7, 2016
Last observed: Jul 1, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• W•••••• P••	n/a	FRANKLIN, TN \| Frisco, TX	9	26	3	no
T••••• L•• C••••••	Certified Financial Planner	FRANKLIN, TN \| Knoxville, TN	9	13	1	no
B•••• M•••••• H•••	Certified Financial Planner	Frisco, TX \| FRANKLIN, TN	9	20	2	no
K•••• A••• C•••••••••	Certified Financial Planner	FRANKLIN, TN	9	20	2	no
B••••••• D•••• B••••	n/a	Frisco, TX \| FRANKLIN, TN	9	18	2	no
D••• M•••• M•••••••	Certified Financial Planner	FRANKLIN, TN	9	16	2	yes
B•••••• D•••• H•••••••••	Certified Financial Planner	FRANKLIN, TN	9	15	2	no
C••• T•••••••	Certified Financial Planner	FRANKLIN, TN	9	13	1	no
R••• S••••• T••••	Certified Financial Planner	FRANKLIN, TN	9	11	1	no
J•••• C••• P•••••	Certified Financial Planner	FRANKLIN, TN	9	12	1	no
J•••• T••••• P•••••••	Certified Financial Planner	Franklin, TN	9	21	1	yes
S•••••• J•••• L••••	n/a	FRANKLIN, TN	9	18	2	no
G••••• L•••• S•••••••	n/a	FRANKLIN, TN \| Columbia, TN	9	16	3	no
R••••• A•••••••• H••••	n/a	FRANKLIN, TN	9	15	1	no
W•••••• D•••• B••••••	n/a	FRANKLIN, TN	9	10	1	no