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CRD 168255
CHATTANOOGA, TN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A••••••• L••• Z••••••• | Certified Financial Planner | CHATTANOOGA, TN | 11 | 11 | 1 | no |
| A••••• B•••• P••••• | Chartered Financial Analyst | CHATTANOOGA, TN | 10 | 12 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| P•••••• A•••••• B•••• | Principal | E | yes | 02/2020 | Feb 27, 2020 | Feb 28, 2024 |
| Z•••••••• A•••••••• L••• | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2016 | Feb 2, 2016 | Feb 28, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $725M | $620M | 17.0% | $450M | 17.2% | 11 | 10 | 0 | 0 |
| no |
| C••••••• A••••• T•••••• | n/a | CHATTANOOGA, TN | 6 | 11 | n/a | no |
| K•••• A•• C•••• | n/a | CHATTANOOGA, TN | 3 | 12 | 1 | no |
| J••• A••• J•••• | Chartered Financial Analyst | CHATTANOOGA, TN | 2 | 10 | n/a | no |
| G•••• M••••• A•••• | Chartered Financial Analyst | CHATTANOOGA, TN | 1 | 10 | 1 | no |
| C•••••••• L••• J•••••• | n/a | CHATTANOOGA, TN | 0 | 12 | 1 | no |
| $725M |
| $723M |
| 11 |
| 7 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $620M | $617M | 10 | 6 | 0 | n/a | n/a |
| 2023 | Feb 28, 2024 | $531M | $529M | 10 | 6 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $450M | $447M | 11 | 6 | 0 | n/a | n/a |
| 2021 | Mar 4, 2022 | $512M | $512M | 13 | 6 | 0 | n/a | n/a |
| 2020 | Mar 16, 2021 | $440M | $437M | 13 | 9 | 0 | n/a | n/a |
| 2019 | Feb 27, 2020 | $406M | $403M | 15 | 8 | 0 | n/a | n/a |
| 2018 | Mar 29, 2019 | $344M | $341M | 15 | 8 | 0 | n/a | n/a |
| 2017 | Mar 12, 2018 | $384M | $381M | 11 | 7 | 0 | n/a | n/a |
| 2016 | Mar 21, 2017 | $339M | $335M | 10 | 6 | n/a | n/a | n/a |
| 2015 | Mar 5, 2016 | $311M | $306M | 8 | 6 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $326M | $322M | 8 | 7 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $0 | $0 | 2 | 2 | n/a | n/a | n/a |