DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T•••• C•••••• M••••••••• I••••••••• C••••••• I•••

Independent wealth managerSignal Mountain, TennesseeCRD 113586SEC 801-61148IAPD

Latest filing Mar 12, 2026

First filing on the tape Mar 30, 2012 · 19 filings

SEC status approved since May 10, 2002

RAUM

$277M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

91%

$253M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$277M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$277M as of Mar 12, 2026

Mar 30, 2012$102M then

HNW client RAUM$235M as of Mar 12, 2026

Mar 28, 2018$121M then

State-registered IARs (5.B.3)1 as of Mar 12, 2026

Mar 30, 20120 then

Employees (5.A)2 as of Mar 12, 2026

Mar 15, 20132 then

Private funds: no history

RAUM +22% over the last fiscal year+14% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 12, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $277MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 59derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.7MderivedHNW RAUM over HNW clients
Average account: $912,220derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +11%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, pension consultingreportedItem 5.G
Custody: $54.2M, 26 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$235M85%
Pension and profit-sharing plans$24.2M8.7%
Individuals$18.0M6.5%

Individual clients: 32reported
HNW clients: 27reported
Pension plan clients: 2reported
Charitable clients: 2reported
Accounts: 304reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $54.2M for 26 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
P••• H••••••• T••••Chartered Financial Analyst	Signal Mountain, Tn	Mar 30, 2017	32 y	0

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

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T••••• P•••• H••••••• · President/Chief Compliance Officercontrol
since 09/1993 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Chattanooga, TN1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

unusually large average HNW clientStatic outlier · filing Mar 12, 2026
HNW RAUM per HNW client of $8,708,531 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.3 robust deviations)
peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 251 to 304
Mar 19, 2025 to Mar 12, 2026
Individual clients · 26 to 32
Mar 19, 2025 to Mar 12, 2026
Assets in custody · $57.9M to $54.2M
Mar 19, 2025 to Mar 12, 2026
Discretionary RAUM · $228M to $277M
Mar 19, 2025 to Mar 12, 2026
HNW RAUM · $191M to $235M
Mar 19, 2025 to Mar 12, 2026
Individual RAUM · $13.0M to $18.0M
Mar 19, 2025 to Mar 12, 2026
Pension RAUM · $23.9M to $24.2M
Mar 19, 2025 to Mar 12, 2026
RAUM · $228M to $277M
Mar 19, 2025 to Mar 12, 2026
Accounts · 294 to 251
May 13, 2024 to Mar 19, 2025
Charity clients · 1 to 2
May 13, 2024 to Mar 19, 2025
Corporate clients · 2.0 to unset
May 13, 2024 to Mar 19, 2025
HNW clients · 29 to 27
May 13, 2024 to Mar 19, 2025
Individual clients · 25 to 26
May 13, 2024 to Mar 19, 2025
Financial planning clients · unset to
May 13, 2024 to Mar 19, 2025
Discretionary RAUM · $210M to $228M
May 13, 2024 to Mar 19, 2025
HNW RAUM · $178M to $191M
May 13, 2024 to Mar 19, 2025
Individual RAUM · $11.5M to $13.0M
May 13, 2024 to Mar 19, 2025
Pension RAUM · $19.5M to $23.9M
May 13, 2024 to Mar 19, 2025
RAUM · $210M to $228M
May 13, 2024 to Mar 19, 2025
Assets in custody · unset to 57906745.0
May 6, 2024 to May 13, 2024
Custody of client assets · false to true
May 6, 2024 to May 13, 2024
Accounts · 289 to 294
Mar 27, 2023 to Mar 25, 2024
Charity clients · unset to 1.0
Mar 27, 2023 to Mar 25, 2024
Corporate clients · unset to 2.0
Mar 27, 2023 to Mar 25, 2024
HNW clients · 27 to 29
Mar 27, 2023 to Mar 25, 2024
Individual clients · 26 to 25
Mar 27, 2023 to Mar 25, 2024
Pension plan clients · unset to 2.0
Mar 27, 2023 to Mar 25, 2024
Assets in custody · 57906745.0 to unset
Mar 27, 2023 to Mar 25, 2024
Custody of client assets · true to false
Mar 27, 2023 to Mar 25, 2024
Discretionary RAUM · $188M to $210M
Mar 27, 2023 to Mar 25, 2024
HNW RAUM · $142M to $178M
Mar 27, 2023 to Mar 25, 2024
Individual RAUM · $24.8M to $11.5M
Mar 27, 2023 to Mar 25, 2024
Pension RAUM · $21.5M to $19.5M
Mar 27, 2023 to Mar 25, 2024
RAUM · $188M to $210M
Mar 27, 2023 to Mar 25, 2024
Accounts · 59 to 289
Mar 17, 2022 to Mar 27, 2023
Individual clients · 25 to 26
Mar 17, 2022 to Mar 27, 2023
Assets in custody · $68.5M to $57.9M
Mar 17, 2022 to Mar 27, 2023
Discretionary RAUM · $209M to $188M
Mar 17, 2022 to Mar 27, 2023
HNW RAUM · $154M to $142M
Mar 17, 2022 to Mar 27, 2023
Individual RAUM · $28.8M to $24.8M
Mar 17, 2022 to Mar 27, 2023

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

Principal office phone: 423-886-2625reportedpublic record, Form ADV, Mar 12, 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: $277Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026