DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T•• N•••• S••••••••• G••••• L••

CRD 168239

KNOXVILLE, TN

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Search this name across graphsid dfx:ria:f1837c35-487e-35dc-ad8d-b5a7711b3186

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Mar 15, 2016 to Mar 24, 2026
24 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $337M••• Locked
Discretionary RAUM: $337M
Private client RAUM: $337Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $112Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• E••••• N••••	Certified Financial Planner	KNOXVILLE, TN	13	34	3	no
T••••• L•• S•••••••••	Certified Financial Planner	KNOXVILLE, TN	9	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••• D•••••• E•••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	06/2013	Mar 15, 2016	Mar 29, 2024
S••••••••• T•••••• L••	Member	B	no	10/2014	Mar 15, 2016	Mar 29, 2024

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	0	0	0.0%	0	0	0	1	2

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	$337M	$294M	14.8%	$225M	14.4%	5	6	0	0

Relationships

Registered with (7)

← S••• H••••• F•••••Advisorregistration: current employment
Nov 13, 2025 to presentfactForm ADV
← T••••• L•• S•••••••••Advisorregistration: current employment
Oct 12, 2016 to presentfactForm ADV
← D••••• E••••• N••••Advisorregistration: current employment
Sep 6, 2013 to presentfactForm ADV
← T•••• M•••••• S••••••

Dated events

Occurred
Jul 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 15, 2016
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f1837c35-487e-35dc-ad8d-b5a7711b3186
First observed: Mar 15, 2016
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.