DFX Intelligence

K•••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

K•••• A•••• M••••••••• L••

CRD 119139

NASHVILLE, TN

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Search this name across graphsid dfx:ria:67a0e381-d3e6-d28e-1050-f9e7a675a15c

Data as of Aug 1, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 10
On other graphs: 0
Observed: Dec 12, 2011 to Aug 1, 2025
34 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: $454M••• Locked
Discretionary RAUM: $454M
Private client RAUM: $441Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• V••• L••••	Secretary	Na	yes	12/2001	Dec 12, 2011	Jan 26, 2024
H•••• S••••••• P••••••••	President	Na	yes	12/2001	Dec 12, 2011	Jan 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••• F•••••••• S•••••••• L••	n/a	n/a	n/a	Y	yes	n/a
K•••••••• P•••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Columbia	Tn	United States	1	no
Lebanon	Tn	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$454M	$400M	13.4%	$433M	1.6%	2	6	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I•••••• S•••••••• W••••• L••	2	Aug 1, 2025	Aug 12, 2025	NASHVILLE, TN	Team lift out	RIA to RIA	50.0%
B•••• T•••• W••••• M••••••••• L••	2	Aug 1, 2025	Aug 7, 2025

Relationships

Moved with (2)

→ I•••••• S•••••••• W••••• L••Registered adviser2 advisors, team lift out, same day
Aug 1, 2025 to Aug 12, 2025factForm ADV
→ B•••• T•••• W••••• M••••••••• L••Registered adviser2 advisors, team lift out, same day
Aug 1, 2025 to Aug 7, 2025factForm ADV

Registered with (9)

← S•••••• P•••••••• H•••Advisorregistration: previous registration
Jun 9, 2004 to Aug 1, 2025factForm ADV

Dated events

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

Occurred
Aug 1, 2025
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Aug 1, 2025
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Aug 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67a0e381-d3e6-d28e-1050-f9e7a675a15c
First observed: Dec 12, 2011
Last observed: Aug 1, 2025 13 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.