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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

CRITERION CAPITAL ADVISORS LLC

CRD 295954

NASHVILLE, 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 graphsid dfx:ria:48937933-85d2-571d-9a16-cdf8b4e8ed81

Data as of Jul 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Apr 4, 2018 to Jul 25, 2024
14 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: $461MItem 5.F on the latest filing (2024-07-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $461M
Private client RAUM: $442MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,045
Individual clients: 255
High net worth clients: 97
Custody, client assets: $10.2M
SEC number: 801-113152
CRD: 295954
Filings on the tape: 14
First filed: Apr 4, 2018
Latest filed: Jul 25, 2024
Organised: Limited Liability Company, Tennessee

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HORNER, ALLAN, WESLEY	MANAGING MEMBER	C	yes	11/2005	Apr 4, 2018	Jul 25, 2024
PIERCE, MARK, THOMAS	MANAGING MEMBER	C	yes	01/2013	Apr 4, 2018	Jul 25, 2024
FREEMAN, SCOTT, ALEXANDER	MEMBER AND CHIEF COMPLIANCE OFFICER	B	no	01/2018	Apr 4, 2018	Jul 25, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2023	Mar 6, 2024	$461M	$461M	6	4	n/a	n/a
2022	Mar 10, 2023	$397M	$397M	6	3	n/a	n/a
2021	Mar 1, 2022	$454M	$454M	6	3	n/a	n/a
2020	Mar 15, 2021	$384M	$384M	6	3	n/a	n/a
2019	Feb 6, 2020	$353M	$353M	6	3	n/a	n/a
2018	Feb 26, 2019	$304M	$304M	5	3	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$461M	$397M	16.1%	$384M	6.3%	6	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
EP WEALTH ADVISORS	4	Mar 28, 2025	Feb 20, 2025	NASHVILLE, TN	Firm absorbed	RIA to RIA	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	3	Jun 1, 2018	Jun 1, 2018	NASHVILLE, TN	Team lift out	Wirehouse to new firm	0.2%

Relationships

Controls (2)

← PIERCE, MARK, THOMASOwnerMANAGING MEMBER, ownership code C, individual
Apr 4, 2018 to presentfactForm ADV
← HORNER, ALLAN, WESLEYOwnerMANAGING MEMBER, ownership code C, individual
Apr 4, 2018 to presentfactForm ADV

Owns (1)

← FREEMAN, SCOTT, ALEXANDEROwnerMEMBER AND CHIEF COMPLIANCE OFFICER, ownership code B, individual
Apr 4, 2018 to presentfactForm ADV

Registered with (4)

← MARK THOMAS PIERCEAdvisorregistration: previous registration
Jun 1, 2018 to Mar 28, 2025factForm ADV
← ALLAN WESLEY HORNERAdvisorregistration: previous registration
Jun 1, 2018 to Mar 28, 2025factForm ADV
← SCOTT ALEXANDER FREEMANAdvisorregistration: previous registration
Jun 1, 2018 to Mar 28, 2025factForm ADV
← Maxon Thomas SeckmanAdvisorregistration: previous registration
Sep 6, 2023 to Mar 28, 2025factForm ADV

Moved with (2)

→ EP WEALTH ADVISORSRegistered adviser4 advisors, firm absorbed, same day
Mar 28, 2025 to Feb 20, 2025factForm ADV
← WELLS FARGO ADVISORSRegistered adviser3 advisors, team lift out, same day
Jun 1, 2018 to Jun 1, 2018factForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Criterion Capital Advisors Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $460.6M)
Form ADVobserved 4 days ago
$461M
Occurred
Mar 28, 2025
Firm absorbed
Criterion Capital Advisors LLC's advisors moved to EP Wealth Advisors (Nashville, TN): 4 of 4 registered, on the same day
Form ADVobserved 4 days ago
4 advisors
Occurred
Mar 28, 2025
Advisor changed firm
Mark Thomas Pierce left Criterion Capital Advisors Llc for Ep Wealth Advisors (registered 2025-02-20)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2025
Advisor changed firm
Maxon Thomas Seckman left Criterion Capital Advisors Llc for Ep Wealth Advisors (registered 2025-02-11)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2025
Advisor changed firm
Scott Alexander Freeman left Criterion Capital Advisors Llc for Ep Wealth Advisors (registered 2025-02-07)
Form ADVobserved 4 days ago
Occurred
Mar 28, 2025
Advisor changed firm
Allan Wesley Horner left Criterion Capital Advisors Llc for Ep Wealth Advisors (registered 2025-02-20)
Form ADVobserved 4 days ago
Occurred
Apr 4, 2018
First Form ADV filing
Criterion Capital Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48937933-85d2-571d-9a16-cdf8b4e8ed81
First observed: Apr 4, 2018
Last observed: Jul 25, 2024 26 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.

CRITERION CAPITAL ADVISORS LLC

CRD 295954

NASHVILLE, 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 graphsid dfx:ria:48937933-85d2-571d-9a16-cdf8b4e8ed81

Data as of Jul 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HORNER, ALLAN, WESLEY

MANAGING MEMBER

yes

11/2005

Apr 4, 2018

Jul 25, 2024

PIERCE, MARK, THOMAS

MANAGING MEMBER

yes

01/2013

Apr 4, 2018

Jul 25, 2024

FREEMAN, SCOTT, ALEXANDER

MEMBER AND CHIEF COMPLIANCE OFFICER

01/2018

Apr 4, 2018

Jul 25, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 6, 2024

$461M

n/a

2022

Mar 10, 2023

$397M

n/a

2021

Mar 1, 2022

$454M

n/a

2020

Mar 15, 2021

$384M

n/a

2019

Feb 6, 2020

$353M

n/a

2018

Feb 26, 2019

$304M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$461M

$397M

16.1%

$384M

6.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EP WEALTH ADVISORS

Mar 28, 2025

Feb 20, 2025

NASHVILLE, TN

Firm absorbed

RIA to RIA

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Jun 1, 2018

NASHVILLE, TN

Team lift out

Wirehouse to new firm

0.2%