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
P••• W••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape May 2, 2023 · 17 filings
SEC status approved since Jun 1, 2023
RAUM
$1.3B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
98%
$1.2B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
22
14 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.3B as of Mar 13, 2026
Mar 27, 2024$284M then
HNW client RAUM$686M as of Mar 13, 2026
Mar 27, 2024$100M then
State-registered IARs (5.B.3)13 as of Mar 13, 2026
Mar 27, 202413 then
Employees (5.A)22 as of Mar 13, 2026
Mar 27, 202423 then
Private funds: no history
RAUM +9.2% over the last fiscal yearIARs 13 to 13offices 11 to 10
Practice profile
derived from the filing of Mar 13, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 202derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $518,667derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.1derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 2,500reportedItem 5.H
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$686M54%
- Individuals$561M44%
- Corporations and businesses$26.7M2.1%
- Charitable organizations$1.3M0.1%
- Individual clients
- 2,052reported
- HNW clients
- 367reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 2,459reported
- Financial planning clients
- 2,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• E••• B••••••Certified Financial Planner | Goodlettsville, Tn | Aug 15, 2008 | 33 y | 2 |
| D••••• R••••• H•••Certified Financial Planner | Goodlettsville, Tn | Feb 20, 2009 | 27 y | 3 |
| J••••••• M••••• W•••••Certified Financial Planner | Gallatin, Tn | Sep 26, 2011 | 26 y | 0 |
| M••••••••• B••••Chartered Financial Consultant | Mt. Juliet, Tn | Jul 30, 2014 | 18 y | 3 |
| J•••• P••••• W•••Certified Financial Planner | Goodlettsville, Tn | Sep 23, 2014 | 28 y | 5 |
| C••••• C••• H•••••Certified Financial Planner | Goodlettsville, Tn | Jan 10, 2018 | 10 y | 0 |
| M•••••• J••• S•••••••• | Goodlettsville, Tn | May 30, 2018 | 12 y | 0 |
| P••• P•••••• W••••••Chartered Financial Consultant | Goodlettsville, Tn | Jun 12, 2018 | 37 y | 0 |
| B•••• C••••••••• K•••••Certified Financial Planner | Goodlettsville, Tn | Aug 13, 2020 | 10 y | 0 |
| J•••• D•••• D••••••Certified Financial Planner | Franklin, Tn | Nov 25, 2020 | 24 y | 0 |
| S•••• C••••••Chartered Financial Consultant | Goodlettsville, Tn | May 16, 2022 | 11 y | 0 |
| R••••• D• O••Chartered Financial Consultant | Goodlettsville, Tn | Mar 2, 2023 | 19 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 headcount2 left over 36 months
Left, latest
- I•• M••••••• W••• to F•••• F•••••••• C•••••••• I•••Apr 28, 2025 · RIA to RIA
- A••• T•••••• E••••••••• to U••••• I••••••••• A•••••••• L••Apr 28, 2025 · RIA to a state-registered adviser
Joined, latest
- J•••• P••••• W••• from A• C•••• S•••••••• L••Sep 23, 2014 · Other
- M••••••••• B•••• from I•••••••• A•••••••• L••Jul 30, 2014 · Other
- I•• M••••••• W••• from W••• F•••••••• G••••• I•••Mar 26, 2009 · Other
- L••••••• E••• B•••••• from S•••• S••••••••• I••Aug 15, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• D••••••• A•• · Director/ Secretarycontrolsince 12/2012 · owns less than 5%
- W••••••• P•••• P•••••• · Presidentcontrolsince 10/2000 · owns 75% or more
- S•••••• L••••• M•••••• · Chief Compliance Officersince 08/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Goodlettsville, Tn · principal | 11 | 0 | 0 | ||
| Franklin, Tn | 3 | 0 | 0 | ||
| Columbia, Tn | 2 | 0 | 0 | ||
| Nashville, Tn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN3 employees
- Tullahoma, TN2 employees
- Columbia, TN2 employees
- Mt. Juliet, TN2 employees
- Murfreesboro, TN2 employees
- Nashville, TN2 employees
- Gallatin, TN1 employees
- Clarksville, TN1 employees
- Harlingen, TX1 employees
- Dickson, TN1 employees
- Bowling Green, KY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 13, 2026discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 2,559 to 2,459Dec 26, 2025 to Mar 13, 2026
- Corporate clients · 46 to 38Dec 26, 2025 to Mar 13, 2026
- HNW clients · 313 to 367Dec 26, 2025 to Mar 13, 2026
- Individual clients · 2,198 to 2,052Dec 26, 2025 to Mar 13, 2026
- Other offices · 12 to 10Dec 26, 2025 to Mar 13, 2026
- HNW RAUM · $559M to $686MDec 26, 2025 to Mar 13, 2026
- Individual RAUM · $585M to $561MDec 26, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $1.2B to $1.3BDec 26, 2025 to Mar 13, 2026
- RAUM · $1.2B to $1.3BDec 26, 2025 to Mar 13, 2026
- Other offices · 10 to 12Jul 10, 2025 to Aug 6, 2025
- Financial planning clients · More than 500 to More than 500Mar 28, 2025 to Jul 10, 2025
- Other offices · 11 to 10Mar 28, 2025 to Jul 10, 2025
- Accounts · 1,492 to 2,559Mar 3, 2025 to Mar 28, 2025
- Advisory employees · 13 to 14Mar 3, 2025 to Mar 28, 2025
- Charity clients · 5 to 2Mar 3, 2025 to Mar 28, 2025
- Corporate clients · 10 to 46Mar 3, 2025 to Mar 28, 2025
- HNW clients · 83 to 313Mar 3, 2025 to Mar 28, 2025
- Individual clients · 655 to 2,198Mar 3, 2025 to Mar 28, 2025
- Employees · 23 to 22Mar 3, 2025 to Mar 28, 2025
- Discretionary RAUM · $284M to $0Mar 3, 2025 to Mar 28, 2025
- HNW RAUM · $100M to $559MMar 3, 2025 to Mar 28, 2025
- Individual RAUM · $171M to $585MMar 3, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $1.2BMar 3, 2025 to Mar 28, 2025
- RAUM · $284M to $1.2BMar 3, 2025 to Mar 28, 2025
- Accounts · 2,421 to 1,492Sep 6, 2023 to Mar 27, 2024
- Charity clients · 0 to 5Sep 6, 2023 to Mar 27, 2024
- Corporate clients · 0 to 10Sep 6, 2023 to Mar 27, 2024
- HNW clients · 215 to 83Sep 6, 2023 to Mar 27, 2024
- Individual clients · 2,206 to 655Sep 6, 2023 to Mar 27, 2024
- Employees · 19 to 23Sep 6, 2023 to Mar 27, 2024
- State-registered IARs · 12 to 13Sep 6, 2023 to Mar 27, 2024
- Other offices · 10 to 11Sep 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $0 to $284MSep 6, 2023 to Mar 27, 2024
- HNW RAUM · $380M to $100MSep 6, 2023 to Mar 27, 2024
- Individual RAUM · $543M to $171MSep 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $924M to $0Sep 6, 2023 to Mar 27, 2024
- RAUM · $924M to $284MSep 6, 2023 to Mar 27, 2024
- Other offices · 9 to 10Jun 27, 2023 to Aug 24, 2023
Signals
7 dated events
- I•• M••••••• W••• left P••• W••••••• I••• for F•••• F•••••••• C•••••••• I••• (registered 2025-03-27)Apr 28, 2025 · Advisor changed firm · fact
- A••• T•••••• E••••••••• left P••• W••••••• I••• for U••••• I••••••••• A•••••••• L•• (registered 2025-04-04)Apr 28, 2025 · Advisor changed firm · fact
- P••• W••••••• I••• reported RAUM $1.2B, up 311% from $284.0M (2025-03-03 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Lee Bobbie Cosgrove (Chief Compliance Officer) no longer on Schedule A of P••• W••••••• I••• (listed 2024-03-27, absent 2024-05-31)May 31, 2024 · Control person left · inference
- P••• W••••••• I••• reported RAUM $284.0M, down 69% from $923.6M (2023-09-06 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Lee Bobbie Cosgrove (Chief Compliance Officer) appeared on Schedule A of P••• W••••••• I•••Mar 27, 2024 · Control person joined · fact
- P••• W••••••• I••• filed its initial SEC registration (Form ADV)May 2, 2023 · ria f•••• adv filing · 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 phone
- 615-851-1950reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 615-851-4597reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/paul-winkler-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- PAULWINKLER.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-851-1950reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- paulwinkler.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- paulwinkler.com/teamreportedpublished 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026