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
W••••••• I••••••••• C••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 29, 2012 · 26 filings
SEC status approved since Sep 11, 2000
RAUM
$2.0B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$1.8B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$183M
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.0B as of Mar 20, 2026
Mar 29, 2012$397M then
HNW client RAUM$1.7B as of Mar 20, 2026
Mar 23, 2018$312M then
State-registered IARs (5.B.3)11 as of Mar 20, 2026
Mar 26, 20136 then
Employees (5.A)15 as of Mar 20, 2026
Mar 26, 20138 then
Private funds1 as of Mar 30, 2020
Mar 29, 20121 then
RAUM +15% over the last fiscal year+17% a year over threeIARs 11 to 11offices 1 to 2
Practice profile
derived from the filing of Mar 20, 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
- RAUM per advisor
- $183MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $272M, 39 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B85%
- Charitable organizations$227M11%
- Individuals$65.1M3.2%
- Corporations and businesses$5.2M0.3%
- Pension and profit-sharing plans$347,3610.0%
- Individual clients
- 102reported
- HNW clients
- 335reported
- Pension plan clients
- 2reported
- Charitable clients
- 27reported
- Accounts
- 1,469reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $272M for 39 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• A••• Y•••••••••Certified Financial Planner | Nashville, Tn | Nov 13, 2019 | 13 y | 0 |
| C••• J•••••• S•••••••Certified Financial Planner | Nashville, Tn | Apr 1, 2021 | 10 y | 0 |
| B•••• J•••• K•••••••Chartered Financial Analyst | Nashville, Tn | Aug 3, 2021 | 14 y | 0 |
| J•••• B•••Certified Financial Planner | Nashville, Tn | Mar 22, 2022 | 10 y | 1 |
| A•• T••••• H••••• K•••••Certified Financial Planner, Chartered Financial Analyst | Nashville, Tn | Sep 14, 2022 | 12 y | 1 |
| A••••• J•••• P•••••Certified Financial Planner | Nashville, Tn | Sep 14, 2023 | 12 y | 1 |
| J••• D••••Chartered Financial Analyst | Nashville, Tn | Aug 26, 2024 | 10 y | 0 |
| N••••• C•••••••• H•••••Certified Financial Planner | Nashville, Tn | Jan 9, 2025 | 10 y | 1 |
| C•••••• G•••• B••••••Chartered Financial Analyst | Nashville, Tn | Jan 15, 2025 | 11 y | 0 |
| S•••••• A•••• F•••••• | Nashville, Tn | Jan 1, 2026 | 28 y | 1 |
| W••• E• S••••• | Nashville, Tn | Jan 1, 2026 | 25 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- A••••• J••••• T••••• to J•••••••• B••••• C••••••• L••Dec 22, 2023 · Other
- J••••• A•••••• I•••••• to J•••••••• B••••• C••••••• L••Dec 22, 2023 · Other
- M•••••• T•••••• B•••••• to 1••• S••••• A•••• M•••••••••Jul 9, 2019 · RIA to RIA
- J•••• R••••• C•••••• to O•••• W•••••• I•••Aug 13, 2013 · Other
Joined, latest
- S•••••• A•••• F•••••• from U•• F•••••••• S••••••• I•••Jan 1, 2026 · Wirehouse to independent RIA
- N••••• C•••••••• H••••• from W•••••••••Jan 9, 2025 · RIA to RIA
- A••••• J•••• P••••• from A••••••••• F•••••••• S•••••••• L••Sep 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- A•• T••••• H••••• K••••• from 2•• A•••••••Sep 14, 2022 · Other
- J•••• B••• from O•••• F•• I•••Mar 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• J••••• T••••• from M••••• S••••••Jan 7, 2022 · Wirehouse to independent RIA
- J•••• R••••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 10, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for J•••••••• B••••• C••••••• L••Dec 22, 2023 · Nashville, Tn
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••• P••••••• F•••• L•no longer reported | Hedge Fund | $15.7M | 25 | Jul 2, 2013 |
| T•••••• F••• I• L•no longer reported | Hedge Fund | $8.3M | 4 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• S••••••• A•••• · Principalcontrolsince 11/2004 · owns 25% to 50%
- S•••••• W•••• E• · Principalcontrolsince 04/2011 · owns 25% to 50%
- B•••••••• J•••••• K•••• · Managing Membercontrolsince 02/2023 · owns 75% or more of S•• W•• H•••••••• L••
- B••••••• C••••••• G•••• · Principal, Csosince 02/2023 · owns less than 5%
- H•••••• N•••••• C•••••••• · Coosince 02/2023 · owns less than 5%
- K•••••• A•• T•••••• H••••• · Principalsince 01/2025 · owns less than 5%
- K•••••••• B••••• J•••• · Chief Compliance Officersince 01/2024 · owns less than 5%
- K•••• P•••• H••••• · Principalsince 09/2000 · owns less than 5%
- Y••••••••• L••••••• A••• · Principalsince 02/2023 · owns less than 5%
Entity owners
- S•• W•• H•••••••• L•• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- J•••••••• B••••• C••••••• L••investment advisern
Advisers that list W••••••• I••••••••• C••••••• L•• as a related person
- 325636 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 11 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Springfield, TN
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 20, 2026B•••••••• J•••••• K•••• (MANAGING MEMBER) left Schedule A between the filings of 2024-01-16 and 2026-03-20peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,569 to 1,469Mar 20, 2025 to Mar 20, 2026
- Charity clients · 22 to 27Mar 20, 2025 to Mar 20, 2026
- HNW clients · 311 to 335Mar 20, 2025 to Mar 20, 2026
- Individual clients · 112 to 102Mar 20, 2025 to Mar 20, 2026
- Assets in custody · $53.7M to $272MMar 20, 2025 to Mar 20, 2026
- Employees · 11 to 15Mar 20, 2025 to Mar 20, 2026
- Other offices · 1 to 2Mar 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $1.7B to $2.0BMar 20, 2025 to Mar 20, 2026
- HNW RAUM · $1.4B to $1.7BMar 20, 2025 to Mar 20, 2026
- Individual RAUM · $56.1M to $65.1MMar 20, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $37.1M to $30.1MMar 20, 2025 to Mar 20, 2026
- Pension RAUM · $288,596 to $347,361Mar 20, 2025 to Mar 20, 2026
- RAUM · $1.7B to $2.0BMar 20, 2025 to Mar 20, 2026
- Accounts · 1,299 to 1,569Nov 5, 2024 to Mar 20, 2025
- Charity clients · 23 to 22Nov 5, 2024 to Mar 20, 2025
- Corporate clients · 1 to 2Nov 5, 2024 to Mar 20, 2025
- HNW clients · 305 to 311Nov 5, 2024 to Mar 20, 2025
- Individual clients · 91 to 112Nov 5, 2024 to Mar 20, 2025
- Pension plan clients · unset to 2.0Nov 5, 2024 to Mar 20, 2025
- Assets in custody · $48.0M to $53.7MNov 5, 2024 to Mar 20, 2025
- Financial planning clients · 251-500 to 251-500Nov 5, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.4B to $1.7BNov 5, 2024 to Mar 20, 2025
- HNW RAUM · $1.1B to $1.4BNov 5, 2024 to Mar 20, 2025
- Individual RAUM · $77.9M to $56.1MNov 5, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $33.5M to $37.1MNov 5, 2024 to Mar 20, 2025
- Pension RAUM · unset to 288596.0Nov 5, 2024 to Mar 20, 2025
- RAUM · $1.4B to $1.7BNov 5, 2024 to Mar 20, 2025
- Accounts · 1,176 to 1,299Jan 16, 2024 to Mar 28, 2024
- Advisory employees · 13 to 11Jan 16, 2024 to Mar 28, 2024
- Charity clients · 21 to 23Jan 16, 2024 to Mar 28, 2024
- HNW clients · 312 to 305Jan 16, 2024 to Mar 28, 2024
- Individual clients · 73 to 91Jan 16, 2024 to Mar 28, 2024
- Pension plan clients · 1.0 to unsetJan 16, 2024 to Mar 28, 2024
- Assets in custody · $51.0M to $48.0MJan 16, 2024 to Mar 28, 2024
- Employees · 13 to 11Jan 16, 2024 to Mar 28, 2024
- State-registered IARs · 12 to 11Jan 16, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $1.4BJan 16, 2024 to Mar 28, 2024
- HNW RAUM · $1.1B to $1.1BJan 16, 2024 to Mar 28, 2024
- Individual RAUM · $26.8M to $77.9MJan 16, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $49.2M to $33.5MJan 16, 2024 to Mar 28, 2024
Signals
7 dated events
- J••••• A•••••• I•••••• left W••••••• I••••••••• C••••••• L•• for J•••••••• B••••• C••••••• L•• (registered 2024-01-02)Dec 22, 2023 · Advisor changed firm · fact
- A••••• J••••• T••••• left W••••••• I••••••••• C••••••• L•• for J•••••••• B••••• C••••••• L•• (registered 2023-12-22)Dec 22, 2023 · Advisor changed firm · fact
- 2 advisors left W••••••• I••••••••• C••••••• L•• (Nashville, TN) for J•••••••• B••••• C••••••• L•• on the same dayDec 22, 2023 · Team lift-out · derived
- Patrick Scott Burns (Principal) no longer on Schedule A of W••••••• I••••••••• C••••••• L•• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Keith Joseph Benedict (Managing Member) appeared on Schedule A of W••••••• I••••••••• C••••••• L••Mar 31, 2023 · Control person joined · fact
- W••••••• I••••••••• C••••••• L•• reported RAUM $1.2B, up 26% from $958.7M (2021-12-09 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- J•••• Conner (Principal) no longer on Schedule A of W••••••• I••••••••• C••••••• L•• (listed 2020-06-23, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
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 email
- info@woodmontcounsel.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 615-297-6144reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- W•••••••C••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-297-6144reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- woodmontcounsel.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- woodmontcounsel.com/our-teamreportedpublished 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
- $183Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026