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.
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SEC-registered adviser
B•••••• M•••• • A••••••••• I•••
Latest filing Mar 29, 2026
First filing on the tape Apr 2, 2012 · 21 filings
SEC status approved since Apr 10, 1986
RAUM
$349M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
88%
$307M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$349M as of Mar 29, 2026
Apr 2, 2012$163M then
HNW client RAUM$282M as of Mar 29, 2026
Mar 28, 2018$191M then
State-registered IARs (5.B.3)3 as of Mar 29, 2026
Apr 2, 20120 then
Employees (5.A)5 as of Mar 29, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+9.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 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
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$282M81%
- Corporations and businesses$35.0M10%
- Individuals$24.2M6.9%
- Charitable organizations$7.3M2.1%
- Individual clients
- 70reported
- HNW clients
- 95reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 348reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| J•• W•••••• B••••• | Chattanooga, Tn | Jun 9, 2004 | 40 y | 0 |
| R•••••• L•••• M•••• | Chattanooga, Tn | Jun 9, 2004 | 38 y | 0 |
| J•• W•••••• B••••• | Chattanooga, Tn | Jun 1, 2018 | 10 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••• W•••••• · Chief Compliance Officer, Vp, Portfolio Managercontrolsince 11/2018 · owns 5% to 10%
- B•••••• J••• W•••••• · Managing Directorcontrolsince 03/1986 · owns 25% to 50%
- M••••• R••••••• L•••• · Managing Directorcontrolsince 08/1995 · owns 50% to 75%
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.
What changed
consecutive filings, newest first
- Accounts · 337 to 348Mar 28, 2025 to Mar 29, 2026
- HNW clients · 87 to 95Mar 28, 2025 to Mar 29, 2026
- Individual clients · 77 to 70Mar 28, 2025 to Mar 29, 2026
- Employees · 6 to 5Mar 28, 2025 to Mar 29, 2026
- Discretionary RAUM · $309M to $342MMar 28, 2025 to Mar 29, 2026
- HNW RAUM · $252M to $282MMar 28, 2025 to Mar 29, 2026
- Individual RAUM · $23.2M to $24.2MMar 28, 2025 to Mar 29, 2026
- Non-discretionary RAUM · $5.6M to $6.4MMar 28, 2025 to Mar 29, 2026
- RAUM · $314M to $349MMar 28, 2025 to Mar 29, 2026
- Accounts · 319 to 337Mar 29, 2024 to Mar 28, 2025
- HNW clients · 97 to 87Mar 29, 2024 to Mar 28, 2025
- Individual clients · 73 to 77Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $279M to $309MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $234M to $252MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $19.1M to $23.2MMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $6.3M to $5.6MMar 29, 2024 to Mar 28, 2025
- RAUM · $286M to $314MMar 29, 2024 to Mar 28, 2025
- Accounts · 296 to 319Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 13 to 12Mar 31, 2023 to Mar 29, 2024
- HNW clients · 80 to 97Mar 31, 2023 to Mar 29, 2024
- Individual clients · 71 to 73Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $258M to $279MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $222M to $234MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $14.5M to $19.1MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $10.0M to $6.3MMar 31, 2023 to Mar 29, 2024
- RAUM · $268M to $286MMar 31, 2023 to Mar 29, 2024
- Accounts · 279 to 296Mar 30, 2022 to Mar 31, 2023
- Corporate clients · 8 to 13Mar 30, 2022 to Mar 31, 2023
- HNW clients · 78 to 80Mar 30, 2022 to Mar 31, 2023
- Individual clients · 67 to 71Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $281M to $258MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $252M to $222MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $21.0M to $14.5MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $15.0M to $10.0MMar 30, 2022 to Mar 31, 2023
- RAUM · $296M to $268MMar 30, 2022 to Mar 31, 2023
- Accounts · 273 to 279Mar 30, 2021 to Mar 30, 2022
- Corporate clients · 6 to 8Mar 30, 2021 to Mar 30, 2022
- HNW clients · 69 to 78Mar 30, 2021 to Mar 30, 2022
- Individual clients · 63 to 67Mar 30, 2021 to Mar 30, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 423-756-8628reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-909-4961reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B•••••M••••.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 423-756-8628reportedpublic record, Form ADV, Mar 29, 2026
- Team page
- b•••••••••.netreportedpublished by the firm, firm site, Sep 15, 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026