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
R••••••• I••••••••• G•••• I••
Latest filing Mar 22, 2024
First filing on the tape Feb 1, 2012 · 17 filings
SEC status approved since Mar 15, 1996
RAUM
$19.6M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
100%
$19.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$19.6M as of Mar 22, 2024
Feb 1, 2012$108M then
HNW client RAUM$8.9M as of Feb 3, 2022
Jan 3, 2018$78.7M then
State-registered IARs (5.B.3)1 as of Mar 22, 2024
Feb 1, 20120 then
Employees (5.A)1 as of Mar 22, 2024
Feb 13, 20134 then
Private funds: no history
RAUM -14% over the last fiscal year-33% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 22, 2024; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $19.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $338,166derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$19.6M100%
- Individual clients
- 58reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 58reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- T•••• C•••••• G•••• to D••••• W••••• M••••••••• L••Feb 2, 2022 · RIA to RIA
Joined, latest
- T•••• C•••••• G•••• from M••••• S•••••• D• I•••Mar 17, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• R••••••• L•••• · President/Chief Compliance Officercontrolsince 04/1996 · owns 50% to 75%
- L••••• J••••• C•••••• · Shareholdersince 04/1996 · owns 5% to 10%
- R••••••• A••• L•••• · Shareholdersince 04/1996 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 56 to 58Aug 14, 2023 to Mar 22, 2024
- Discretionary RAUM · $22.9M to $14.0MAug 14, 2023 to Mar 22, 2024
- Individual RAUM · $22.9M to $19.6MAug 14, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $0 to $5.6MAug 14, 2023 to Mar 22, 2024
- RAUM · $22.9M to $19.6MAug 14, 2023 to Mar 22, 2024
- HQ city · BRENTWOOD to unsetMay 30, 2023 to Aug 14, 2023
- HQ state · TN to unsetMay 30, 2023 to Aug 14, 2023
- Accounts · 58 to 56Jan 5, 2023 to Apr 30, 2023
- Discretionary RAUM · $26.5M to $22.9MJan 5, 2023 to Apr 30, 2023
- Individual RAUM · $26.5M to $22.9MJan 5, 2023 to Apr 30, 2023
- RAUM · $26.5M to $22.9MJan 5, 2023 to Apr 30, 2023
- Accounts · 100 to 58Feb 3, 2022 to Jan 5, 2023
- Advisory employees · 2 to 1Feb 3, 2022 to Jan 5, 2023
- Advisory activities · 3 to 1Feb 3, 2022 to Jan 5, 2023
- Charity clients · 2 to 0Feb 3, 2022 to Jan 5, 2023
- HNW clients · 2 to 0Feb 3, 2022 to Jan 5, 2023
- Individual clients · 96 to 58Feb 3, 2022 to Jan 5, 2023
- Employees · 2 to 1Feb 3, 2022 to Jan 5, 2023
- Insurance-licensed employees · 1 to 0Feb 3, 2022 to Jan 5, 2023
- Financial planning clients · 0 to unsetFeb 3, 2022 to Jan 5, 2023
- Discretionary RAUM · $40.6M to $26.5MFeb 3, 2022 to Jan 5, 2023
- HNW RAUM · 8908230.0 to unsetFeb 3, 2022 to Jan 5, 2023
- Individual RAUM · $37.5M to $26.5MFeb 3, 2022 to Jan 5, 2023
- Non-discretionary RAUM · $6.8M to $0Feb 3, 2022 to Jan 5, 2023
- RAUM · $47.5M to $26.5MFeb 3, 2022 to Jan 5, 2023
- Accounts · 119 to 100Mar 3, 2021 to Feb 3, 2022
- Advisory employees · 4 to 2Mar 3, 2021 to Feb 3, 2022
- Charity clients · 0 to 2Mar 3, 2021 to Feb 3, 2022
- HNW clients · 0 to 2Mar 3, 2021 to Feb 3, 2022
- Individual clients · 118 to 96Mar 3, 2021 to Feb 3, 2022
- Employees · 4 to 2Mar 3, 2021 to Feb 3, 2022
- Financial planning clients · unset to 0Mar 3, 2021 to Feb 3, 2022
- Discretionary RAUM · $45.0M to $40.6MMar 3, 2021 to Feb 3, 2022
- HNW RAUM · $0 to $8.9MMar 3, 2021 to Feb 3, 2022
- Individual RAUM · $63.8M to $37.5MMar 3, 2021 to Feb 3, 2022
- Non-discretionary RAUM · $19.8M to $6.8MMar 3, 2021 to Feb 3, 2022
- RAUM · $64.8M to $47.5MMar 3, 2021 to Feb 3, 2022
- Accounts · 156 to 119Mar 3, 2020 to Mar 3, 2021
- Advisory activities · 2 to 3Mar 3, 2020 to Mar 3, 2021
- Charity clients · 4 to 0Mar 3, 2020 to Mar 3, 2021
Signals
1 dated events
- T•••• C•••••• G•••• left R••••••• I••••••••• G•••• I•• for D••••• W••••• M••••••••• L•• (registered 2021-02-26)Feb 2, 2022 · Advisor changed firm · fact
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
- Website
- R•••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 6156620967reportedpublic record, Form ADV, Mar 22, 2024
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026