DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

P••••• A•• P•••••• I•••

CRD 105414

CHATTANOOGA, TN

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Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 7
On other graphs: 1
Observed: Mar 29, 2012 to Mar 16, 2026
39 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

P••••• a•• P•••••• I•••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.9 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.2B••• Locked
Discretionary RAUM: $2.2B
Private client RAUM: $2.0Bderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $737Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• V•••••• R•••	Chartered Financial Analyst	CHATTANOOGA, TN	22	34	n/a	no
M••• C••••••••• F••••	Chartered Financial Analyst	CHATTANOOGA, TN	8	22

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•• S••• L••	Private Equity Fund	$271,081	Mar 7, 2017	6	Mar 29, 2012	dropped	n/a
P•• P••• R•••• I••••••••• L•	Private Equity Fund	$109,108

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• W••••••• F•••••••• A•••••	PRINCIPAL / P•••FOLIO MANAGER	B	yes	01/2019	Mar 16, 2026	Mar 16, 2026
F••••• M•••• C•••••••••	PRINCIPAL / P•••FOLIO MANAGER	C	yes	03/2015	Mar 16, 2026	Mar 16, 2026

Regulatory AUM by fiscal year

••• Locked

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

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	0	0

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	$2.2B	$2.1B	7.2%	$1.7B	8.2%	13	14	0	0

Relationships

Controls (4)

← R•••• R••••••• V••••••OwnerCHAIRMAN / CHIEF EXECUTIVE OFFICER / PRESIDENT, ownership code C, individual
Mar 16, 2026 to presentfactForm ADV
← D•••••••• W••••••• F•••••••• A•••••OwnerPRINCIPAL / P•••FOLIO MANAGER, ownership code B, individual
Mar 16, 2026 to presentfactForm ADV
← G•••••• S••••••••• P•OwnerPRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 16, 2026 to presentfactForm ADV
← F••••• M•••• C•••••••••OwnerPRINCIPAL / P•••FOLIO MANAGER, ownership code C, individual

Dated events

Order

Occurred
16 Mar 2026
Ria ownership band change2 events
P••••• A•• P•••••• I•••: ria ownership band change, 2 events, on 16 Mar 2026
- ••• Locked
- ••• Locked
Occurred
3 Jan 2023
Control person left
••• Locked
Form ADV
Occurred
3 Jan 2022
Control person left
••• Locked
Form ADV
Occurred
5 Jan 2021
Control person joined
••• Locked
Form ADV
Occurred
8 Mar 2019
Control person joined2 events
P••••• A•• P•••••• I•••: control person joined, 2 events, on 8 Mar 2019
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 16, 2026 6 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 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 9, 2016	$1.2B	$1.1B	12	5	n/a	4	$165,255
2014	Mar 27, 2015	$1.2B	$915M	16	5	n/a	4	$327,655
2013	Mar 27, 2014	$1.3B	$1.0B	17	7	n/a	4	$527,778
2012	Mar 28, 2013	$1.1B	$866M	17	7	n/a	4	$1.6M
2011	Mar 29, 2012	$1.0B	$780M	n/a	n/a	n/a	4	$10.8M