DFX Intelligence

U•••••••••: 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 adviserformer SEC adviserNot on rosterRAUM under $100M

U•••••••••

U••••••••• GROUP LLC, CRD 301340

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 11, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Oct 12, 2020 to Jul 11, 2023
12 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.4M••• Locked
Discretionary RAUM: $1.4M
Private client RAUM: $1.3Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $700,000derived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• H•••• C•••••••	n/a	NASHVILLE, TN	5	13	n/a	no
R•••• J••••• P••••••	n/a	NASHVILLE, TN \| Charleston, SC	1	13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U••••••••• F••••••• F•••	Hedge Fund	$1.5M	Nov 20, 2020	6	Oct 12, 2020	dropped	n/a
T•• C••••••• K•••• F•••	Other Private Fund	$100,000

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• R•••••• A••••••••	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	E	yes	01/2019	Oct 12, 2020	Jul 11, 2023
K••••• R•••••••• T••••	Member	A	no	05/2021	Jan 27, 2022	Jul 11, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Feb 1, 2023

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$1.4M	$10.3M	-86.4%	n/a	n/a	2	3	1	0

Relationships

Registered with (3)

← R•••• J••••• P••••••Advisorregistration: current employment
Jul 17, 2025 to presentfactForm ADV
← R••••• H•••• C•••••••Advisorregistration: current employment
Nov 20, 2020 to presentfactForm ADV
← L••• C••••••••Advisorregistration: previous registration
Jul 31, 2023 to Aug 2, 2024factForm ADV

Advises (2)

Dated events

Occurred
Aug 2, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 12, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 12, 2020
Last observed: Jul 11, 2023 39 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.