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
J• M••• N•••••• • C••
Latest filing Mar 18, 2026
First filing on the tape Mar 8, 2012 · 12 filings
SEC status approved since May 26, 2021
RAUM
$146M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
91%
$134M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.8M
derived; firm RAUM over IAPD count
Employees
3
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$146M as of Mar 18, 2026
Mar 8, 2012$67.8M then
HNW client RAUM$130M as of Mar 18, 2026
Feb 28, 2022$117M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 8, 20120 then
Employees (5.A)3 as of Mar 18, 2026
Feb 28, 20222 then
Private funds: no history
RAUM +27% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $48.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $841,526derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$130M97%
- Individuals$3.6M2.7%
- Corporations and businesses$3,3730.0%
- Individual clients
- 6reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 174reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M••• N••••••Personal Financial Specialist, Chartered Financial Analyst | Brentwood, Tn | Feb 10, 2004 | 32 y | 0 |
| T••••• W• N•••••• | Brentwood, Tn | Jun 26, 2023 | 10 y | 0 |
| M••••••• R••• D••••Certified Financial Planner | Brentwood, Tn | Apr 17, 2024 | 18 y | 3 |
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
- M••••••• R••• D•••• from B•••••••• I••••••••• M••••••••• L••Apr 17, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• J•••••• M••• · President/Chief Compliance Officercontrolsince 04/1994 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brentwood, Tn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 162 to 174Feb 6, 2026 to Mar 18, 2026
- HNW clients · 35 to 43Feb 6, 2026 to Mar 18, 2026
- Individual clients · 8 to 6Feb 6, 2026 to Mar 18, 2026
- Discretionary RAUM · $111M to $138MFeb 6, 2026 to Mar 18, 2026
- HNW RAUM · $98.6M to $130MFeb 6, 2026 to Mar 18, 2026
- Individual RAUM · $5.1M to $3.6MFeb 6, 2026 to Mar 18, 2026
- Non-discretionary RAUM · $4.0M to $8.3MFeb 6, 2026 to Mar 18, 2026
- Pension RAUM · 1909180.0 to unsetFeb 6, 2026 to Mar 18, 2026
- RAUM · $115M to $146MFeb 6, 2026 to Mar 18, 2026
- Accounts · 169 to 162Feb 22, 2024 to Mar 11, 2025
- Advisory employees · 2 to 3Feb 22, 2024 to Mar 11, 2025
- HNW clients · 37 to 35Feb 22, 2024 to Mar 11, 2025
- Employees · 2 to 3Feb 22, 2024 to Mar 11, 2025
- Financial planning clients · 26-50 to 26-50Feb 22, 2024 to Mar 11, 2025
- State-registered IARs · 2 to 3Feb 22, 2024 to Mar 11, 2025
- Discretionary RAUM · $118M to $111MFeb 22, 2024 to Mar 11, 2025
- HNW RAUM · $102M to $98.6MFeb 22, 2024 to Mar 11, 2025
- Individual RAUM · $4.8M to $5.1MFeb 22, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $2.7M to $4.0MFeb 22, 2024 to Mar 11, 2025
- Pension RAUM · $3.9M to $1.9MFeb 22, 2024 to Mar 11, 2025
- RAUM · $121M to $115MFeb 22, 2024 to Mar 11, 2025
- Accounts · 167 to 169Feb 8, 2023 to Feb 22, 2024
- Advisory employees · 1 to 2Feb 8, 2023 to Feb 22, 2024
- Individual clients · 9 to 8Feb 8, 2023 to Feb 22, 2024
- Financial planning clients · 11-25 to 26-50Feb 8, 2023 to Feb 22, 2024
- State-registered IARs · 1 to 2Feb 8, 2023 to Feb 22, 2024
- Discretionary RAUM · $106M to $118MFeb 8, 2023 to Feb 22, 2024
- HNW RAUM · $91.2M to $102MFeb 8, 2023 to Feb 22, 2024
- Individual RAUM · $4.6M to $4.8MFeb 8, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $2.1M to $2.7MFeb 8, 2023 to Feb 22, 2024
- Pension RAUM · $3.2M to $3.9MFeb 8, 2023 to Feb 22, 2024
- RAUM · $108M to $121MFeb 8, 2023 to Feb 22, 2024
- Accounts · 165 to 167Feb 28, 2022 to Feb 8, 2023
- HNW clients · 38 to 37Feb 28, 2022 to Feb 8, 2023
- Discretionary RAUM · $124M to $106MFeb 28, 2022 to Feb 8, 2023
- HNW RAUM · $117M to $91.2MFeb 28, 2022 to Feb 8, 2023
- Individual RAUM · $4.5M to $4.6MFeb 28, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $987,536 to $2.1MFeb 28, 2022 to Feb 8, 2023
- Pension RAUM · $3.5M to $3.2MFeb 28, 2022 to Feb 8, 2023
- RAUM · $125M to $108MFeb 28, 2022 to Feb 8, 2023
Signals
1 dated events
- J• M••• N•••••• • C•• filed its initial SEC registration (Form ADV)Apr 26, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- J• M••• N•••••• • C•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 615-371-6622reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/J.-M•••-N••••••-&-COMPANYreportedpublic record, Form ADV, Sep 18, 2026
- Website
- JM•••N••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-371-6622reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- j•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- j•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $48.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026