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CRD 150483
KNOXVILLE, 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 |
|---|---|---|---|---|---|---|
| R•••• E••••• K•••• | Certified Financial Planner | KNOXVILLE, TN | 17 | 29 | 2 | yes |
| M•••••• T••••• S•••••• | Certified Financial Planner | KNOXVILLE, TN | 12 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••• R••••• E••••• | MANAGING MEMBER | E | yes | 08/2009 | Jun 2, 2014 | Nov 27, 2024 |
| M•••••••• T••••• J••••• | MEMBER/CHIEF COMPLIANCE OFFICER | A | yes | 01/2021 | Feb 18, 2022 | Nov 27, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Tampa | FL | United States | 1 | no |
| Somerset | Ky | United States | 1 | no |
| Asheville | Nc | United States | 1 | no |
| Brentwood | Tn | United States | 1 | no |
| Chattanooga | Tn | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 3 | 0 | 3 | 0.0% | 1 | 0 | 0 | 8 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $397M | $291M | 36.1% | $176M | 31.0% | 12 | 17 | 8 | 6 |
| no |
| J••••• B•••• M•••••••• | n/a | KNOXVILLE, TN | 8 | 12 | n/a | no |
| T•••• J•••• M••••• | Certified Financial Planner | KNOXVILLE, TN | 8 | 11 | n/a | no |
| N••••••• W•••••• H••••• | Certified Financial Planner | Chattanooga, TN | KNOXVILLE, TN | 7 | 18 | 4 | no |
| J••••• M• L••• | n/a | KNOXVILLE, TN | Brentwood, TN | Owensboro, KY | 5 | 12 | 1 | yes |
| D•••• T• W••••• | n/a | Somerset, KY | KNOXVILLE, TN | 5 | 15 | n/a | no |
| M•••••• K••• H••••••• | Certified Financial Planner | KNOXVILLE, TN | 3 | 22 | 1 | yes |
| T•••••• J••••• M••••••• | n/a | Tampa, FL | KNOXVILLE, TN | Asheville, NC | 3 | 30 | 3 | no |
| T•••• F•••••• | Certified Financial Planner | KNOXVILLE, TN | 2 | 10 | 2 | yes |
| C•••••• J•••• L•••••• | n/a | KNOXVILLE, TN | 1 | 10 | 1 | yes |
| L••• J•••••••• P••••• | Certified Financial Planner | KNOXVILLE, TN | Fountain Inn, SC | 1 | 11 | 2 | no |
| J•••• N••••• K•••••• | n/a | KNOXVILLE, TN | 1 | 23 | 2 | no |
| K•••••••• A•• S•••••••• | Certified Financial Planner | Knoxville, TN | KNOXVILLE, TN | 0 | 17 | 7 | no |
| R•••••• E•••••••• B•••• | Certified Financial Planner | Brooklyn, NY | KNOXVILLE, TN | 0 | 26 | 1 | no |
| C•••••• M•••••• B•••• | n/a | KNOXVILLE, TN | Morristown, TN | 0 | 11 | 3 | yes |
| Member |
| B |
| no |
| 01/2017 |
| Apr 25, 2017 |
| Nov 27, 2024 |
| M•••••• T••••• J•••• | Member | A | no | 01/2021 | Feb 18, 2022 | Nov 27, 2024 |
| S••••••• M••••••• T••••• | Member | A | no | 01/2017 | Apr 25, 2017 | Nov 27, 2024 |
| no |
| Harriman | Tn | United States | 1 | no |
| $397M |
| $371M |
| 12 |
| 12 |
| 7 |
| n/a |
| n/a |
| 2024 | Mar 17, 2025 | $291M | $291M | 17 | 13 | 6 | n/a | n/a |
| 2023 | Feb 15, 2024 | $253M | $243M | 11 | 9 | 5 | n/a | n/a |
| 2022 | Feb 6, 2023 | $176M | $176M | 10 | 10 | 4 | n/a | n/a |
| 2021 | Feb 18, 2022 | $207M | $207M | 9 | 9 | 4 | n/a | n/a |
| 2020 | Mar 10, 2021 | $156M | $156M | 8 | 7 | 4 | n/a | n/a |
| 2019 | Mar 3, 2020 | $144M | $144M | 8 | 8 | 3 | n/a | n/a |
| 2018 | Mar 14, 2019 | $122M | $122M | 11 | 11 | 4 | n/a | n/a |
| 2017 | Feb 22, 2018 | $115M | $115M | 7 | 7 | 2 | n/a | n/a |
| 2016 | Feb 9, 2017 | $103M | $101M | 9 | 9 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $102M | $91.9M | 9 | 9 | n/a | n/a | n/a |
| 2014 | Mar 11, 2015 | $108M | $95.8M | 9 | 9 | n/a | n/a | n/a |