DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Patten And Patten, Inc.
Latest filing Mar 16, 2026
First filing on the tape Mar 29, 2012 · 39 filings
SEC status approved since May 12, 1976
RAUM
$2.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$2.0B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$737M
derived; firm RAUM over IAPD count
Employees
13
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$2.2B as of Mar 16, 2026
Mar 29, 2012$1.0B then
HNW client RAUM$1.9B as of Mar 16, 2026
Mar 13, 2018$1.4B then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 28, 20131 then
Employees (5.A)13 as of Mar 16, 2026
Mar 28, 201317 then
Private funds1 as of Mar 13, 2018
Mar 29, 20124 then
RAUM +7.2% over the last fiscal year+8.2% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $737MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 280derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $693M, 356 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B86%
- Charitable organizations$127M5.7%
- Individuals$96.7M4.4%
- Corporations and businesses$39.2M1.8%
- State and municipal entities$29.4M1.3%
- Pension and profit-sharing plans$15.8M0.7%
- Individual clients
- 245reported
- HNW clients
- 596reported
- Pension plan clients
- 7reported
- Charitable clients
- 24reported
- Accounts
- 2,156reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $4.2M managedreported
- Custody of client assets
- $693M for 356 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Raymond Vincent RyanChartered Financial Analyst | Chattanooga, Tn | Mar 25, 2004 | 34 y | 0 |
| Mark Christopher FleckChartered Financial Analyst | Chattanooga, Tn | Aug 14, 2018 | 22 y | 1 |
| William Frederick Austin DecosimoChartered Financial Analyst | Chattanooga, Tn | Feb 2, 2024 | 15 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Ashley Jill Heck to Campbell Asset Management, LLCApr 17, 2017 · Other
Joined, latest
- Mark Christopher Fleck from Highland Capital Management, LLCAug 14, 2018 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P&P Ssf, LLCno longer reported | Private Equity Fund | $271,081 | 6 | Mar 29, 2012 |
| P&P Port Royal Investors, LPno longer reported | Private Equity Fund | $109,108 | 26 | Mar 29, 2012 |
| P&P River III Associates, LPno longer reported | Private Equity Fund | $235 | 49 | Mar 29, 2012 |
| P&P River II Associates, LPno longer reported | Private Equity Fund | $168 | 21 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Frederick Austin William Decosimo · Principal / Portfolio Managercontrolsince 01/2019 · owns 10% to 25%
- Christopher Mark Fleck · Principal / Portfolio Managercontrolsince 03/2015 · owns 25% to 50%
- P Stephanie Graham · Principal / Chief Financial Officer / Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- Vincent Raymond Ryan · Chairman / Chief Executive Officer / Presidentcontrolsince 02/2005 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chattanooga, Tn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 16, 2026RAUM per registered advisor of $736,938,890 against a peer median of $146,413,945 (1221 comparable advisers, 98.0th percentile, 6.0 robust deviations)peers: independent wealth managers, $1B to $5B (1,221) · 98% percentile
What changed
consecutive filings, newest first
- Employees · 14 to 13Mar 26, 2025 to Mar 16, 2026
- State-registered IARs · 4 to 3Mar 26, 2025 to Mar 16, 2026
- Accounts · 2,102 to 2,156Mar 26, 2025 to Mar 16, 2026
- Advisory employees · 4 to 3Mar 26, 2025 to Mar 16, 2026
- Charity clients · 22 to 24Mar 26, 2025 to Mar 16, 2026
- Corporate clients · 5 to 6Mar 26, 2025 to Mar 16, 2026
- HNW clients · 604 to 596Mar 26, 2025 to Mar 16, 2026
- Individual clients · 225 to 245Mar 26, 2025 to Mar 16, 2026
- Pension plan clients · 8 to 7Mar 26, 2025 to Mar 16, 2026
- Assets in custody · $586M to $693MMar 26, 2025 to Mar 16, 2026
- Discretionary RAUM · $2.0B to $2.2BMar 26, 2025 to Mar 16, 2026
- HNW RAUM · $1.8B to $1.9BMar 26, 2025 to Mar 16, 2026
- Individual RAUM · $82.0M to $96.7MMar 26, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $18.0M to $20.4MMar 26, 2025 to Mar 16, 2026
- Pension RAUM · $13.8M to $15.8MMar 26, 2025 to Mar 16, 2026
- RAUM · $2.1B to $2.2BMar 26, 2025 to Mar 16, 2026
- Wrap assets (manager) · $4.1M to $4.2MMar 26, 2025 to Mar 16, 2026
- Accounts · 2,086 to 2,102Nov 18, 2024 to Mar 26, 2025
- Charity clients · 32 to 22Nov 18, 2024 to Mar 26, 2025
- Corporate clients · 17 to 5Nov 18, 2024 to Mar 26, 2025
- HNW clients · 646 to 604Nov 18, 2024 to Mar 26, 2025
- Individual clients · unset to 225.0Nov 18, 2024 to Mar 26, 2025
- Pension plan clients · 13 to 8Nov 18, 2024 to Mar 26, 2025
- Assets in custody · $524M to $586MNov 18, 2024 to Mar 26, 2025
- Employees · 11 to 14Nov 18, 2024 to Mar 26, 2025
- Financial planning clients · unset to Nov 18, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.8B to $2.0BNov 18, 2024 to Mar 26, 2025
- HNW RAUM · $1.7B to $1.8BNov 18, 2024 to Mar 26, 2025
- Individual RAUM · unset to 82028612.0Nov 18, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $102M to $18.0MNov 18, 2024 to Mar 26, 2025
- Pension RAUM · $17.7M to $13.8MNov 18, 2024 to Mar 26, 2025
- RAUM · $1.9B to $2.1BNov 18, 2024 to Mar 26, 2025
- Wrap assets (manager) · $3.6M to $4.1MNov 18, 2024 to Mar 26, 2025
- Assets in custody · $0 to $524MMar 26, 2024 to Oct 24, 2024
- Custody of client assets · false to trueMar 26, 2024 to Oct 24, 2024
- Employees · 12 to 11Mar 26, 2024 to Oct 24, 2024
- Accounts · 2,025 to 2,086Feb 9, 2024 to Mar 26, 2024
- Corporate clients · 15 to 17Feb 9, 2024 to Mar 26, 2024
- HNW clients · 638 to 646Feb 9, 2024 to Mar 26, 2024
- Discretionary RAUM · $1.7B to $1.8BFeb 9, 2024 to Mar 26, 2024
Signals
5 dated events
- Allen Bryan Worcester Patten (Chairman) no longer on Schedule A of Patten And Patten, Inc. (listed 2022-03-21, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- George Grant Moore (Chief Compliance Officer) no longer on Schedule A of Patten And Patten, Inc. (listed 2021-11-03, absent 2022-01-03)Jan 3, 2022 · Control person left · inference
- George Grant Moore (Chief Compliance Officer) appeared on Schedule A of Patten And Patten, Inc.Jan 5, 2021 · Control person joined · fact
- Frederick Austin William Decosimo (Principal / Portfolio Manager) appeared on Schedule A of Patten And Patten, Inc.Mar 8, 2019 · Control person joined · fact
- P Stephanie Graham (Principal / Cpa) appeared on Schedule A of Patten And Patten, Inc.Mar 8, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Patten and Patten, Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- betsy@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brayton@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jamie@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- miller@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ray@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sgraham@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- amber@patteninc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 423-267-0009reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 423-308-7042reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 423-424-4105reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- PATTENINC.COMreportedpublic record, Form ADV, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $737Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026