DFX Intelligence

M•••• F•••••••• G••••• 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

M•••• F•••••••• G••••• L••

CRD 143816

JOHNSON CITY, TN

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Search this name across graphsid dfx:ria:ead5f4cb-f8a7-68f4-5302-a83a3ed12857

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 9
On other graphs: 1
Observed: Jun 28, 2018 to Mar 27, 2026
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

M•••• F•••••••• G••••• L••

Investment consultant · shared crd

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: $295M••• Locked
Discretionary RAUM: $295M
Private client RAUM: $272Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• S••••• A••••••	MANAGING MEMBER / PRESIDENT / COO	E	yes	04/2007	Jun 28, 2018	Nov 19, 2024
S••••••• S••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2023	Mar 30, 2023	Nov 19, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	2	-2	n/a	0	0	0	0	3

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	$295M	$249M	18.7%	$199M	14.1%	9	10	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• P••••••• P•••••••	2	May 1, 2026	May 4, 2026	JOHNSON CITY, TN	Team lift out	RIA to RIA	100.0%

Relationships

Moved with (1)

→ C••••• P••••••• P•••••••Registered adviser2 advisors, team lift out, same day
May 1, 2026 to May 4, 2026factForm ADV

Registered with (4)

← S•••• A•••••• M••••Advisorregistration: previous registration
Jun 28, 2007 to May 1, 2026factForm ADV
← S•••• S••••••Advisorregistration: previous registration
Jan 19, 2023 to May 1, 2026factForm ADV

Dated events

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

Occurred
May 1, 2026
Team lift-out
2 advisors left M•••• F•••••••• G••••• L•• (Johnson City, TN) for C••••• P••••••• P••••••• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
May 1, 2026
Advisor changed firm
S•••• S•••••• left M•••• F•••••••• G••••• L•• for C••••• P••••••• P••••••• (registered 2026-05-04)
Form ADVobserved 7 days ago
Occurred
May 1, 2026
Advisor changed firm
Scott Anthony M•••• left M•••• F•••••••• G••••• L•• for C••••• P••••••• P••••••• (registered 2026-05-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ead5f4cb-f8a7-68f4-5302-a83a3ed12857
First observed: Jun 28, 2018
Last observed: Mar 27, 2026 5 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.