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CRD 282582
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 |
|---|---|---|---|---|---|---|
| PHILIP BRIAN DORTCH | Certified Financial Planner | KNOXVILLE, TN | 1 | 25 | 3 | no |
| Erich Thomas von Geis | Certified Financial Planner | KNOXVILLE, TN | 0 | 10 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DORTCH, PHILIP, BRIAN | OWNER/CHIEF COMPLIANCE OFFICER/WEALTH ADVISOR/SUCCESS COACH | E | yes | 01/2016 | Apr 6, 2023 | Nov 4, 2024 |
| von Geis, Erich, Thomas | PORTFOLIO ANALYST/COMPLIANCE OFFICER | A | no | 01/2023 | Apr 6, 2023 | Nov 4, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Apr 17, 2025 | $74.3M | $74.3M | 5 | 2 | 0 | n/a | n/a |
| 2023 | Mar 13, 2024 | $129M | $129M | 7 | 2 | 0 | n/a | n/a |
| 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 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $74.3M | $129M | -42.6% | n/a | n/a | 5 | 7 | 0 | 0 |