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.
SEC-registered adviser
Patriot Investment Management Group Inc
Latest filing Mar 5, 2026
First filing on the tape Feb 22, 2012 · 51 filings
SEC status approved since May 20, 1998
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$1.6B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
25
16 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$1.9B as of Mar 5, 2026
Feb 22, 2012$460M then
HNW client RAUM$1.3B as of Mar 5, 2026
Feb 26, 2018$421M then
State-registered IARs (5.B.3)16 as of Mar 5, 2026
Feb 22, 20120 then
Employees (5.A)25 as of Mar 5, 2026
Feb 19, 201323 then
Private funds: no history
RAUM +13% over the last fiscal year+10% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $454,338derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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$1.3B67%
- Individuals$327M17%
- Charitable organizations$273M14%
- Corporations and businesses$30.3M1.6%
- Pension and profit-sharing plans$4.6M0.2%
- Individual clients
- 1,190reported
- HNW clients
- 328reported
- Pension plan clients
- 4reported
- Charitable clients
- 15reported
- Accounts
- 4,197reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bradley Joseph BowerCertified Financial Planner | Knoxville, Tn | Feb 18, 2005 | 37 y | 1 |
| Laura Lea Bolton | Knoxville, Tn | Feb 18, 2005 | 25 y | 1 |
| Jeff Jay MonsonCertified Financial Planner | Knoxville, Tn | May 10, 2011 | 19 y | 1 |
| Adam Krishna BrockCertified Financial Planner | Knoxville, Tn | Jun 22, 2011 | 17 y | 0 |
| John Taylor Wortham | Knoxville, Tn | Jun 30, 2011 | 18 y | 0 |
| Stephen Alexander BealeCertified Financial Planner | Knoxville, Tn | Aug 9, 2017 | 12 y | 0 |
| Brandon Michael Alley | Knoxville, Tn | Oct 4, 2017 | 13 y | 1 |
| Andrew Brett EllisCertified Financial Planner, Personal Financial Specialist | Knoxville, Tn | Oct 18, 2017 | 20 y | 1 |
| Brandon Craig SmithCertified Financial Planner | Knoxville, Tn | Mar 17, 2020 | 10 y | 0 |
| John Madison Smartt | Knoxville, Tn | Mar 23, 2020 | 33 y | 1 |
| David E Palamar | Knoxville, Tn | Apr 10, 2021 | 33 y | 0 |
| Amy Lynn WalkerCertified Financial Planner | Knoxville, Tn | Feb 22, 2023 | 12 y | 0 |
| Grant Bower MurphyCertified Financial Planner | Knoxville, Tn | Jun 13, 2023 | 14 y | 1 |
| Michael Wesley Brown | Crossville, Tn | Apr 9, 2025 | 42 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount2 left over 36 months
Left, latest
- Aaron Matthew Buck to Independent Financial Group, LLCMar 5, 2026 · RIA to affiliated broker-dealer or bank
- Joseph Michael Warwick to Catholic Values Endowment Advisory Group LLCSep 17, 2024 · RIA to a state-registered adviser
- John Robert Tate to Oneascent Financial Services LLCAug 28, 2023 · RIA to RIA
- Christopher Sean Brown to Mariner IndependentNov 21, 2022 · RIA to RIA
- Kathleen Sidley Parks to Symmetry PartnersJun 30, 2017 · Other
- Charles Patrick Mattingly to Leading Edge Financial Planning LLCJan 5, 2016 · Other
- Kevin Nicholas Gormley to Leading Edge Financial Planning LLCJan 5, 2016 · Other
- Kimberlee Ann Spencer to The Nalls Sherbakoff Group, LLCJan 5, 2016 · Other
- Tracy Diane Gangone to J.J.B. Hilliard, W.L. Lyons, LLCSep 5, 2014 · Other
- Thomas Lee Sherbakoff to The Nalls Sherbakoff Group, LLCJun 20, 2014 · Other
- Donald Eugene Nalls to C & J Wealth AdvisorsDec 4, 2012 · Other
Joined, latest
- Michael Wesley Brown from Cambridge Investment Research Advisors, Inc.Apr 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- Grant Bower Murphy from Vanguard Advisers, Inc.Jun 13, 2023 · Affiliated broker-dealer or bank to independent RIA
- Aaron Matthew Buck from Northstar Investment Advisory LLCDec 16, 2022 · Other
- John Madison Smartt from Financial Counseling & AdministrationMar 23, 2020 · Other
- Andrew Brett Ellis from The Cpa Approach To Investing, LLCOct 18, 2017 · Other
- Brandon Michael Alley from Brogan FinancialOct 4, 2017 · Other
- Tracy Diane Gangone from Global Financial Private Capital, Inc.May 20, 2014 · Other
- Charles Patrick Mattingly from Money Concepts Advisory ServiceSep 27, 2012 · Other
- Jeff Jay Monson from MML Investors Services, LLCMay 10, 2011 · Other
- Kathleen Sidley Parks from Greenbrier Capital Management, PllcJan 5, 2011 · Other
- Kimberlee Ann Spencer from Amsouth Investment Management Company LLCNov 9, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Leading Edge Financial Planning LLCJan 5, 2016 · Knoxville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Bradley Bower · Ownercontrolsince 04/2023 · owns 10% to 25%
- Taylor John Wortham · Owner / President / Ccocontrolsince 04/2023 · owns 50% to 75%
- Michael Brandon Alley · Ownersince 04/2023 · owns 10% to 25%
- Alexander Stephen Beale · Owner / Secretarysince 04/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
- Andrew Brett Ellisinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 14 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Crossville, TN1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 4,182 to 4,197Jan 27, 2026 to Feb 27, 2026
- Charity clients · 16 to 15Jan 27, 2026 to Feb 27, 2026
- Corporate clients · 24 to 22Jan 27, 2026 to Feb 27, 2026
- HNW clients · 293 to 328Jan 27, 2026 to Feb 27, 2026
- Individual clients · 1,226 to 1,190Jan 27, 2026 to Feb 27, 2026
- Pension plan clients · 24 to 4Jan 27, 2026 to Feb 27, 2026
- Employees · 24 to 25Jan 27, 2026 to Feb 27, 2026
- Discretionary RAUM · $1.7B to $1.9BJan 27, 2026 to Feb 27, 2026
- HNW RAUM · $1.0B to $1.3BJan 27, 2026 to Feb 27, 2026
- Individual RAUM · $329M to $327MJan 27, 2026 to Feb 27, 2026
- Non-discretionary RAUM · $5.6M to $7.1MJan 27, 2026 to Feb 27, 2026
- Pension RAUM · $59.2M to $4.6MJan 27, 2026 to Feb 27, 2026
- RAUM · $1.7B to $1.9BJan 27, 2026 to Feb 27, 2026
- Financial planning clients · 11-25 to 11-25Apr 4, 2025 to Jul 1, 2025
- Accounts · 4,270 to 4,182Nov 18, 2024 to Feb 24, 2025
- Advisory employees · 18 to 16Nov 18, 2024 to Feb 24, 2025
- Charity clients · 15 to 16Nov 18, 2024 to Feb 24, 2025
- Corporate clients · 22 to 24Nov 18, 2024 to Feb 24, 2025
- HNW clients · 264 to 293Nov 18, 2024 to Feb 24, 2025
- Individual clients · 1,348 to 1,226Nov 18, 2024 to Feb 24, 2025
- Pension plan clients · 25 to 24Nov 18, 2024 to Feb 24, 2025
- State-registered IARs · 18 to 16Nov 18, 2024 to Feb 24, 2025
- Other offices · 5 to 3Nov 18, 2024 to Feb 24, 2025
- Discretionary RAUM · $1.5B to $1.7BNov 18, 2024 to Feb 24, 2025
- HNW RAUM · $901M to $1.0BNov 18, 2024 to Feb 24, 2025
- Individual RAUM · $327M to $329MNov 18, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $5.5M to $5.6MNov 18, 2024 to Feb 24, 2025
- Pension RAUM · $57.2M to $59.2MNov 18, 2024 to Feb 24, 2025
- RAUM · $1.5B to $1.7BNov 18, 2024 to Feb 24, 2025
- Accounts · 4,962 to 4,270May 22, 2023 to Mar 8, 2024
- Advisory employees · 17 to 18May 22, 2023 to Mar 8, 2024
- Charity clients · 19 to 15May 22, 2023 to Mar 8, 2024
- Corporate clients · 25 to 22May 22, 2023 to Mar 8, 2024
- HNW clients · 234 to 264May 22, 2023 to Mar 8, 2024
- Individual clients · 1,585 to 1,348May 22, 2023 to Mar 8, 2024
- Pension plan clients · 29 to 25May 22, 2023 to Mar 8, 2024
- Employees · 26 to 24May 22, 2023 to Mar 8, 2024
- State-registered IARs · 17 to 18May 22, 2023 to Mar 8, 2024
- Other offices · 4 to 5May 22, 2023 to Mar 8, 2024
- Discretionary RAUM · $1.4B to $1.5BMay 22, 2023 to Mar 8, 2024
Signals
5 dated events
- Aaron Matthew Buck left Patriot Investment Management Group Inc for Independent Financial Group, Llc (registered 2026-06-02)Mar 5, 2026 · Advisor changed firm · fact
- Joseph Michael Warwick left Patriot Investment Management Group Inc for Catholic Values Endowment Advisory Group Llc (registered 2026-05-11)Sep 17, 2024 · Advisor changed firm · fact
- John Robert Tate left Patriot Investment Management Group Inc for Oneascent Financial Services Llc (registered 2023-08-25)Aug 28, 2023 · Advisor changed firm · fact
- Taylor John Wortham (Owner / President / Cco) appeared on Schedule A of Patriot Investment Management Group IncMay 22, 2023 · Control person joined · fact
- Christopher Sean Brown left Patriot Investment Management Group Inc for Mariner Independent (registered 2022-12-02)Nov 21, 2022 · Advisor changed firm · fact
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@patriotinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-539-2479reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 865-675-0636reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 865-777-2479reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/patriot-investment-managment-group-inc-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- patriotinvestment.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 865-777-2479reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- patriotinvestment.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- patriotinvestment.com/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
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026