DFX Intelligence

S••••• C•••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserNo RAUM reportedSEC registeredRAUM none

S••••• C•••••• S•••••••• L••

CRD 281478

BRENTWOOD, TN

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Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 4
On other graphs: 0
Observed: Oct 19, 2015 to Mar 24, 2026
28 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 3
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• S•••••• M•••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2021	Jan 19, 2021	Apr 12, 2024
J•••• D• W••• R•••••••• L••••• T•••• A•••••••• D•••• A••••• 1••••••	Member	D	yes	07/2020	Aug 18, 2020	Apr 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••••• C•••••• M••••••••• L••	n/a	Independent wealth	$1.3B	Y	yes	n/a
V••••• A•••••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026

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	$0	$0	n/a	n/a	n/a	3	3	0	0

Relationships

Affiliated with (2)

← V••••• C•••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ V••••• C•••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Registered with (6)

← S••••• M••• C••••••••Advisorregistration: current employment
Jun 18, 2021 to presentfactForm ADV
←

Dated events

Occurred
Jan 19, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 18, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 18, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 19, 2015
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 19, 2015
Last observed: Mar 24, 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.