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CRD 277149
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 |
|---|---|---|---|---|---|---|
| C•••••• P•••••• M•••••••• | Certified Financial Planner | KNOXVILLE, TN | 10 | 19 | 2 | no |
| J•••• E••• R••••• | Certified Financial Planner | Knoxville, TN | 6 | 19 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| G••••••• K••••• N••••••• | CHIEF FINANCIAL OFFICER | C | yes | 06/2015 | Jan 29, 2021 | Dec 4, 2024 |
| M••••••••• C••••••• P•••••• | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | C | yes | 06/2015 | Jan 29, 2021 | Dec 4, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| L•••••• E••• T•• P••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Carlsbad | CA | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 4 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $522M | $360M | 44.9% | $193M | 39.3% | 15 | 13 | 9 | 7 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P•••••• I••••••••• M••••••••• G•••• I•• | 2 | Jan 5, 2016 | Jan 3, 2025 | KNOXVILLE, TN | Team lift out | Other | 18.2% |
| no |
| A••••• J•••• C••••••••• | Certified Financial Planner|Chartered Financial Analyst | KNOXVILLE, TN | Carlsbad, CA | 3 | 17 | 1 | no |
| M••• C••••• | n/a | KNOXVILLE, TN | Asheville, NC | 3 | 12 | n/a | no |
| N•••• C•••• | Certified Financial Planner | KNOXVILLE, TN | OWENSBORO, KY | 1 | 11 | n/a | no |
| K•••• N••••••• G•••••• | Certified Financial Planner | KNOXVILLE, TN | 1 | 15 | 1 | no |
| J••••••• S•••••• | n/a | Raleigh, NC | KNOXVILLE, TN | 1 | 13 | n/a | no |
| Z••• H•••• P•••• | Certified Financial Planner | KNOXVILLE, TN | BOWLING GREEN, KY | 0 | 12 | 2 | no |
| J••••••• B••••• G•••••• | Certified Financial Planner | KNOXVILLE, TN | THOMASVILLE, GA | 0 | 13 | 3 | no |
| B••••• E•••••••• A•••••• | n/a | KNOXVILLE, TN | RALEIGH, NC | 0 | 12 | n/a | no |
| $522M |
| $522M |
| 15 |
| 9 |
| 9 |
| n/a |
| n/a |
| 2024 | Apr 3, 2025 | $360M | $360M | 13 | 7 | 7 | n/a | n/a |
| 2023 | Mar 19, 2024 | $274M | $274M | 12 | 8 | 8 | n/a | n/a |
| 2022 | Mar 13, 2023 | $193M | $193M | 10 | 7 | 6 | n/a | n/a |
| 2021 | Mar 21, 2022 | $174M | $174M | 10 | 6 | 4 | n/a | n/a |