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CRD 118668
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 |
|---|---|---|---|---|---|---|
| D••••• C••••••• V••••••••• | Personal Financial Specialist | CHATTANOOGA, TN | 23 | 29 | n/a | no |
| J•••• C••••••••• R•••• | Personal Financial Specialist | CHATTANOOGA, TN | 3 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••• J••••• L•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 29, 2023 | Feb 27, 2024 |
| V••••••••• D•••••• C••••••• | PRESIDENT AND CEO | D | yes | 08/1997 | Nov 16, 2011 | Feb 27, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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% | 1 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $411M | $343M | 19.8% | $307M | 10.3% | 11 | 10 | 1 | 1 |
| no |
| L•••• A•• R••• | Personal Financial Specialist | CHATTANOOGA, TN | 3 | 12 | n/a | no |
| J•••• L•••• M•••• | Certified Financial Planner | CHATTANOOGA, TN | J•••••• CITY, TN | 3 | 19 | 3 | no |
| E•••••• P••••••• | Certified Financial Planner | CHATTANOOGA, TN | 0 | 10 | n/a | no |
| D•••• P••• C••• | Certified Financial Planner | CHATTANOOGA, TN | 0 | 11 | 1 | no |
| CHIEF FINANCIAL OFFICER |
| C |
| yes |
| 08/1997 |
| Nov 16, 2011 |
| Feb 27, 2024 |
| Mar 3, 2026 |
| $411M |
| $406M |
| 11 |
| 5 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 12, 2025 | $343M | $340M | 10 | 4 | 1 | n/a | n/a |
| 2023 | Feb 2, 2024 | $322M | $320M | 10 | 4 | 1 | n/a | n/a |
| 2022 | Mar 7, 2023 | $307M | $306M | 11 | 4 | 0 | n/a | n/a |
| 2021 | Mar 31, 2022 | $344M | $343M | 9 | 2 | 0 | n/a | n/a |
| 2020 | Mar 16, 2021 | $289M | $289M | 10 | 2 | 0 | n/a | n/a |
| 2019 | Feb 1, 2020 | $268M | $268M | 8 | 2 | 0 | n/a | n/a |
| 2018 | Feb 26, 2019 | $226M | $226M | 8 | 3 | 0 | n/a | n/a |
| 2017 | Mar 12, 2018 | $251M | $251M | 9 | 3 | 0 | n/a | n/a |
| 2016 | Mar 20, 2017 | $230M | $230M | 8 | 3 | n/a | n/a | n/a |
| 2015 | Mar 26, 2016 | $198M | $198M | 7 | 2 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $203M | $203M | 8 | 3 | n/a | n/a | n/a |
| 2013 | Mar 17, 2014 | $199M | $199M | 8 | 3 | n/a | n/a | n/a |
| 2012 | Feb 7, 2013 | $168M | $168M | 7 | 3 | n/a | n/a | n/a |
| 2011 | Feb 24, 2012 | $146M | $146M | n/a | n/a | n/a | n/a | n/a |