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.

Former SEC-registered adviser

Resource Advisory Services, Inc.

Former SEC-registered adviserKnoxville, TennesseeCRD 110671SEC 801-114169IAPD
Latest filing Feb 25, 2020
First filing on the tape Mar 12, 2012 · 12 filings
RAUM
$122M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
98%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$122M as of Feb 25, 2020
Mar 19, 2012$64.7M then
HNW client RAUM$96.5M as of Feb 25, 2020
Feb 14, 2019$88.0M then
State-registered IARs (5.B.3)3 as of Feb 25, 2020
Mar 19, 20120 then
Employees (5.A)6 as of Feb 25, 2020
Feb 14, 20195 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 25, 2020; every figure names its basis
RAUM per advisor
$40.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
23derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$259,058derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • 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$96.5M79%
  • Individuals$23.0M19%
  • Pension and profit-sharing plans$1.7M1.4%
  • Charitable organizations$1.1M0.9%
Individual clients
34reported
HNW clients
36reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
472reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Bryan Robert Hankla · Principal/Vice Presidentcontrol
        since 11/2012 · owns 10% to 25%
      • David James Lewis · President/Chief Compliance Officer(Cco)control
        since 03/1985 · owns 75% or more
      • Nance Christie Lewis · Secretary
        since 06/1998 · owns less than 5%
      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 · 450 to 472
        Jan 3, 2020 to Feb 25, 2020
      • HNW clients · 35 to 36
        Jan 3, 2020 to Feb 25, 2020
      • Individual clients · 41 to 34
        Jan 3, 2020 to Feb 25, 2020
      • Employees · 5 to 6
        Jan 3, 2020 to Feb 25, 2020
      • Discretionary RAUM · $88.5M to $110M
        Jan 3, 2020 to Feb 25, 2020
      • HNW RAUM · $88.0M to $96.5M
        Jan 3, 2020 to Feb 25, 2020
      • Individual RAUM · $12.8M to $23.0M
        Jan 3, 2020 to Feb 25, 2020
      • Non-discretionary RAUM · $13.3M to $12.0M
        Jan 3, 2020 to Feb 25, 2020
      • Pension RAUM · unset to 1678875.0
        Jan 3, 2020 to Feb 25, 2020
      • RAUM · $102M to $122M
        Jan 3, 2020 to Feb 25, 2020
      • Accounts · 462 to 450
        Sep 21, 2018 to Feb 14, 2019
      • HNW clients · 33 to 35
        Sep 21, 2018 to Feb 14, 2019
      • Individual clients · 69 to 41
        Sep 21, 2018 to Feb 14, 2019
      • Financial planning clients · 101-250 to 51-100
        Sep 21, 2018 to Feb 14, 2019
      • Discretionary RAUM · $101M to $88.5M
        Sep 21, 2018 to Feb 14, 2019
      • HNW RAUM · $91.2M to $88.0M
        Sep 21, 2018 to Feb 14, 2019
      • Individual RAUM · $22.3M to $12.8M
        Sep 21, 2018 to Feb 14, 2019
      • Non-discretionary RAUM · $13.6M to $13.3M
        Sep 21, 2018 to Feb 14, 2019
      • RAUM · $115M to $102M
        Sep 21, 2018 to Feb 14, 2019
      • Accounts · 355 to 462
        Aug 3, 2012 to Sep 21, 2018
      • Advisory employees · unset to 3.0
        Aug 3, 2012 to Sep 21, 2018
      • HNW clients · unset to 33.0
        Aug 3, 2012 to Sep 21, 2018
      • Individual clients · unset to 69.0
        Aug 3, 2012 to Sep 21, 2018
      • Employees · unset to 5.0
        Aug 3, 2012 to Sep 21, 2018
      • Financial planning clients · 51-100 to 101-250
        Aug 3, 2012 to Sep 21, 2018
      • State-registered IARs · 0 to 3
        Aug 3, 2012 to Sep 21, 2018
      • Other offices · unset to 0.0
        Aug 3, 2012 to Sep 21, 2018
      • Discretionary RAUM · $53.1M to $101M
        Aug 3, 2012 to Sep 21, 2018
      • HNW RAUM · unset to 91198172.0
        Aug 3, 2012 to Sep 21, 2018
      • Individual RAUM · unset to 22288835.0
        Aug 3, 2012 to Sep 21, 2018
      • Non-discretionary RAUM · $11.6M to $13.6M
        Aug 3, 2012 to Sep 21, 2018
      • RAUM · $64.7M to $115M
        Aug 3, 2012 to Sep 21, 2018
      Signals
      1 dated events
      • Resource Advisory Services, Inc. filed its initial SEC registration (Form ADV)
        Sep 21, 2018 · First SEC registration · fact
      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