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RIA Intelligence

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Former SEC-registered adviser

P•••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserChattanooga, TennesseeCRD 108527SEC 801-43408IAPD

Latest filing Sep 28, 2015

First filing on the tape Mar 30, 2012 · 8 filings

RAUM

$49B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

26 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$49B as of Mar 26, 2015

Mar 30, 2012$47B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2015

Mar 30, 20120 then

Employees (5.A)40 as of Mar 26, 2015

Mar 19, 201335 then

Private funds: no history

RAUM +6.2% over the last fiscal year+1.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Sep 28, 2015; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $2.9BderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +6.2%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 17reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• R•••••• A••••• · Elected Managercontrol
since 01/2014 · owns less than 5%
B••••• S••••• N••••• · Elected Managercontrol
since 07/2010 · owns less than 5%
F••••••• B•••••• A••• · Elected Managercontrol
since 04/2011 · owns less than 5%
F•••••• L•••• B•••• · Elected Managercontrol
since 07/2010 · owns less than 5%
H••••••• R•••••• E••••• · Elected Managercontrol
since 01/2014 · owns less than 5%
J••••••••• J•••• P••• · Elected Manager And Chief Compliance Officercontrol
since 06/2015 · owns less than 5%
M•••••• B••• S•••••• · Elected Managercontrol
since 07/2008 · owns less than 5%
P•••••• J••••• W••••• · Elected Managercontrol
since 07/2010 · owns less than 5%
R••••• J•••••••• M•••••• · Elected Managercontrol
since 09/2015 · owns less than 5%
S••••• T••••• W••••• · Elected Managercontrol
since 12/2014 · owns less than 5%
S••••• S••••• J••••• · Elected Managercontrol
since 07/2010 · owns less than 5%
S•••••• W••••••• R•••• · Elected Managercontrol
since 07/2010 · owns less than 5%
V••••• W••••••• B••••• · Elected Managercontrol
since 07/2008 · owns less than 5%
W••••• T•••••• A••••• H•••• · Elected Managercontrol
since 09/2000 · owns less than 5%

Entity owners

U••• G•••• · Member
direct · owns 75% or more · public reporting company

Related persons

Schedule D 7.A

T•• P••• R••••• V••••••• A•••••• I•••••••• C••••••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Employees · 42 to 40
Nov 19, 2014 to Mar 26, 2015
Discretionary RAUM · $46B to $49B
Nov 19, 2014 to Mar 26, 2015
RAUM · $46B to $49B
Nov 19, 2014 to Mar 26, 2015
Employees · 35 to 42
Mar 19, 2013 to Mar 31, 2014
Discretionary RAUM · $49B to $46B
Mar 19, 2013 to Mar 31, 2014
RAUM · $49B to $46B
Mar 19, 2013 to Mar 31, 2014
Advisory employees · unset to 26.0
Apr 20, 2012 to Mar 19, 2013
Employees · unset to 35.0
Apr 20, 2012 to Mar 19, 2013
Discretionary RAUM · $47B to $49B
Apr 20, 2012 to Mar 19, 2013
RAUM · $47B to $49B
Apr 20, 2012 to Mar 19, 2013

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.

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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026