DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••••••• A•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 16 filings
SEC status approved since Aug 17, 2000
RAUM
$271M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$241M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
16 filings and snapshots on the tape
RAUM$271M as of Mar 27, 2026
Mar 29, 2012$125M then
HNW client RAUM$241M as of Mar 27, 2026
Mar 29, 2018$129M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 27, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +8.7% over the last fiscal year+4.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 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
- $90.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%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
- +8.7%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$241M89%
- Corporations and businesses$26.2M9.7%
- Charitable organizations$3.5M1.3%
- Individuals$446,0840.2%
- Individual clients
- n/areported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 107reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• S••••••• W•••• · Member, Portfolio Managercontrolsince 07/2000 · owns 25% to 50%
- P••••••• D•••••• W••••• · Member, Managing Partner, Chief Compliance Officercontrolsince 09/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 27, 2026HNW RAUM per HNW client of $8,592,777 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.2 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $249M to $271MMar 25, 2025 to Mar 27, 2026
- HNW RAUM · $222M to $241MMar 25, 2025 to Mar 27, 2026
- Individual RAUM · $404,400 to $446,084Mar 25, 2025 to Mar 27, 2026
- RAUM · $249M to $271MMar 25, 2025 to Mar 27, 2026
- Accounts · 108 to 107Mar 22, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $289M to $249MMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $208M to $222MMar 22, 2024 to Mar 25, 2025
- Individual RAUM · $379,659 to $404,400Mar 22, 2024 to Mar 25, 2025
- RAUM · $289M to $249MMar 22, 2024 to Mar 25, 2025
- Accounts · 102 to 108Mar 27, 2023 to Mar 22, 2024
- Financial planning clients · unset to 0Mar 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $237M to $289MMar 27, 2023 to Mar 22, 2024
- HNW RAUM · $171M to $208MMar 27, 2023 to Mar 22, 2024
- Individual RAUM · $198,015 to $379,659Mar 27, 2023 to Mar 22, 2024
- RAUM · $237M to $289MMar 27, 2023 to Mar 22, 2024
- Accounts · 91 to 102Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $223M to $237MMar 29, 2022 to Mar 27, 2023
- HNW RAUM · $167M to $171MMar 29, 2022 to Mar 27, 2023
- Individual RAUM · $339,221 to $198,015Mar 29, 2022 to Mar 27, 2023
- RAUM · $223M to $237MMar 29, 2022 to Mar 27, 2023
- Accounts · 94 to 91Mar 29, 2021 to Mar 29, 2022
- HNW clients · 29 to 28Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $206M to $223MMar 29, 2021 to Mar 29, 2022
- HNW RAUM · $142M to $167MMar 29, 2021 to Mar 29, 2022
- Individual RAUM · $1.3M to $339,221Mar 29, 2021 to Mar 29, 2022
- RAUM · $206M to $223MMar 29, 2021 to Mar 29, 2022
- Accounts · 91 to 94Jun 30, 2020 to Mar 29, 2021
- HNW clients · 25 to 29Jun 30, 2020 to Mar 29, 2021
- HQ city · CHATTANOOGA to KNOXVILLEJun 30, 2020 to Mar 29, 2021
- Other offices · 1 to 0Jun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $172M to $206MJun 30, 2020 to Mar 29, 2021
- HNW RAUM · $121M to $142MJun 30, 2020 to Mar 29, 2021
- Individual RAUM · $1.5M to $1.3MJun 30, 2020 to Mar 29, 2021
- RAUM · $172M to $206MJun 30, 2020 to Mar 29, 2021
- Accounts · 95 to 91Mar 26, 2019 to Mar 31, 2020
- HNW clients · 27 to 25Mar 26, 2019 to Mar 31, 2020
- Discretionary RAUM · $147M to $172MMar 26, 2019 to Mar 31, 2020
- HNW RAUM · $123M to $121MMar 26, 2019 to Mar 31, 2020
- Individual RAUM · $243,473 to $1.5MMar 26, 2019 to Mar 31, 2020
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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 423-424-2299reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 865-330-2525reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C•••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 865-330-2525reportedpublic record, Form ADV, Mar 27, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026