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Former SEC-registered adviser

P••••••• I••••••••• L••

Former SEC-registered adviserChattanooga, TennesseeCRD 108411SEC 801-56537websiteIAPD
Latest filing Jan 5, 2023
First filing on the tape Apr 18, 2012 · 19 filings
RAUM
$1.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.5M as of Feb 28, 2022
Apr 18, 2012$135M then
HNW client RAUM$1.5M as of Feb 28, 2022
May 30, 2019$4.2M then
State-registered IARs (5.B.3)1 as of Feb 28, 2022
May 8, 20131 then
Employees (5.A)1 as of Feb 28, 2022
May 8, 20131 then
Private funds: no history
RAUM -99% over the last fiscal year-81% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 5, 2023; every figure names its basis
RAUM per advisor
$1.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$744,481derivedHNW RAUM over HNW clients
Average account
$744,481derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-99%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, publications, otherreportedItem 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)
  • 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$1.5M100%
Individual clients
n/areported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••• R••••• G••••••Chartered Financial AnalystChattanooga, TnJul 14, 202229 y1
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• T••••• R••••• · Managing Principal/Chief Compliance Officercontrol
        since 07/1999 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory activities · 1 to 3
        Feb 28, 2022 to May 2, 2022
      • Advisory activities · 6 to 1
        Feb 28, 2021 to Feb 28, 2022
      • HNW clients · unset to 2.0
        Feb 28, 2021 to Feb 28, 2022
      • Discretionary RAUM · $1.8M to $1.5M
        Feb 28, 2021 to Feb 28, 2022
      • HNW RAUM · $1.8M to $1.5M
        Feb 28, 2021 to Feb 28, 2022
      • Non-discretionary RAUM · $225M to $0
        Feb 28, 2021 to Feb 28, 2022
      • RAUM · $227M to $1.5M
        Feb 28, 2021 to Feb 28, 2022
      • Accounts · 5 to 2
        Apr 8, 2020 to Feb 28, 2021
      • Financial planning clients · 0 to unset
        Apr 8, 2020 to Feb 28, 2021
      • Other offices · 0 to 1
        Apr 8, 2020 to Feb 28, 2021
      • Discretionary RAUM · $3.2M to $1.8M
        Apr 8, 2020 to Feb 28, 2021
      • HNW RAUM · $3.2M to $1.8M
        Apr 8, 2020 to Feb 28, 2021
      • Non-discretionary RAUM · $245M to $225M
        Apr 8, 2020 to Feb 28, 2021
      • RAUM · $248M to $227M
        Apr 8, 2020 to Feb 28, 2021
      • Accounts · 9 to 5
        Sep 24, 2019 to Apr 8, 2020
      • HNW clients · 7.0 to unset
        Sep 24, 2019 to Apr 8, 2020
      • Other offices · 1 to 0
        Sep 24, 2019 to Apr 8, 2020
      • Discretionary RAUM · $4.2M to $3.2M
        Sep 24, 2019 to Apr 8, 2020
      • HNW RAUM · $4.2M to $3.2M
        Sep 24, 2019 to Apr 8, 2020
      • Non-discretionary RAUM · $225M to $245M
        Sep 24, 2019 to Apr 8, 2020
      • RAUM · $229M to $248M
        Sep 24, 2019 to Apr 8, 2020
      • Advisory activities · 4 to 6
        Jun 7, 2018 to May 30, 2019
      • HNW clients · unset to 7.0
        Jun 7, 2018 to May 30, 2019
      • Discretionary RAUM · $4.4M to $4.2M
        Jun 7, 2018 to May 30, 2019
      • HNW RAUM · unset to 4179988.0
        Jun 7, 2018 to May 30, 2019
      • Non-discretionary RAUM · $228M to $225M
        Jun 7, 2018 to May 30, 2019
      • RAUM · $232M to $229M
        Jun 7, 2018 to May 30, 2019
      • Accounts · 10 to 9
        Apr 26, 2017 to Jun 7, 2018
      • Other offices · unset to 1.0
        Apr 26, 2017 to Jun 7, 2018
      • Discretionary RAUM · $4.4M to $4.4M
        Apr 26, 2017 to Jun 7, 2018
      • Non-discretionary RAUM · $176M to $228M
        Apr 26, 2017 to Jun 7, 2018
      • RAUM · $180M to $232M
        Apr 26, 2017 to Jun 7, 2018
      • Accounts · 11 to 10
        Jun 29, 2016 to Apr 26, 2017
      • Discretionary RAUM · $5.4M to $4.4M
        Jun 29, 2016 to Apr 26, 2017
      • Non-discretionary RAUM · $110M to $176M
        Jun 29, 2016 to Apr 26, 2017
      • RAUM · $115M to $180M
        Jun 29, 2016 to Apr 26, 2017
      • Discretionary RAUM · $5.8M to $5.4M
        May 4, 2015 to Jun 29, 2016
      • Non-discretionary RAUM · $132M to $110M
        May 4, 2015 to Jun 29, 2016
      • RAUM · $137M to $115M
        May 4, 2015 to Jun 29, 2016
      • Discretionary RAUM · $5.4M to $5.8M
        Jan 12, 2015 to May 4, 2015
      Signals
      1 dated events
      • P••••••• I••••••••• L•• reported RAUM $1.5M, down 99% from $226.8M (2021-02-28 to 2022-02-28)
        Feb 28, 2022 · RAUM change · derived
      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
      P•••••••.INVESTMENTSreportedpublic record, Form ADV, Jul 13, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $1.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026