DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•• I••••••••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 28, 2012 · 22 filings
SEC status approved since Jun 3, 2003
RAUM
$431M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$431M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$431M as of Mar 25, 2026
Mar 28, 2012$96.8M then
HNW client RAUM$411M as of Mar 25, 2026
Mar 13, 2018$169M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 28, 20120 then
Employees (5.A)7 as of Mar 25, 2026
Mar 18, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 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
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $815,049derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $106M, 53 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$411M95%
- Individuals$20.2M4.7%
- Pension and profit-sharing plans$359,3550.1%
- Individual clients
- 84reported
- HNW clients
- 114reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 529reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $106M for 53 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| R•••••• I•• Z••• | Knoxville, Tn | Feb 17, 2004 | 37 y | 0 |
| A••••• M••••• C••••••• | Knoxville, Tn | Oct 4, 2017 | 26 y | 0 |
| B•••••• J•••• H•••••Certified Financial Planner | Knoxville, Tn | Jan 1, 2025 | 10 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z•••• R••••••• I•• · Managing Member, Chief Compliance Officercontrolsince 07/1995 · owns 50% to 75%
- H•••• T••••• R•• · Ownersince 01/2021 · owns 10% to 25%
- P•••••• K•••••••• M••••••• · Ownersince 01/2021 · owns 10% to 25%
- S•••••• L••••••• J••••• · Ownersince 01/2021 · owns 10% to 25%
- S••••••••• B••••••• E••••• · Ownersince 01/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- N•••••••• B••• • Z•••• P•insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 25, 2026RAUM per registered advisor of $143,720,360 against a peer median of $55,766,318 (3256 comparable advisers, 98.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $100M to $500M (3,256) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 486 to 529Mar 19, 2025 to Mar 25, 2026
- Advisory employees · 3 to 4Mar 19, 2025 to Mar 25, 2026
- HNW clients · 99 to 114Mar 19, 2025 to Mar 25, 2026
- Individual clients · 95 to 84Mar 19, 2025 to Mar 25, 2026
- Pension plan clients · 2 to 1Mar 19, 2025 to Mar 25, 2026
- Assets in custody · $94.1M to $106MMar 19, 2025 to Mar 25, 2026
- Employees · 6 to 7Mar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $371M to $431MMar 19, 2025 to Mar 25, 2026
- HNW RAUM · $337M to $411MMar 19, 2025 to Mar 25, 2026
- Individual RAUM · $33.0M to $20.2MMar 19, 2025 to Mar 25, 2026
- Pension RAUM · $347,454 to $359,355Mar 19, 2025 to Mar 25, 2026
- RAUM · $371M to $431MMar 19, 2025 to Mar 25, 2026
- Accounts · 447 to 486Mar 22, 2024 to Mar 19, 2025
- Advisory employees · 4 to 3Mar 22, 2024 to Mar 19, 2025
- HNW clients · 89 to 99Mar 22, 2024 to Mar 19, 2025
- Individual clients · 87 to 95Mar 22, 2024 to Mar 19, 2025
- Assets in custody · $4.1M to $94.1MMar 22, 2024 to Mar 19, 2025
- Employees · 7 to 6Mar 22, 2024 to Mar 19, 2025
- Financial planning clients · 11-25 to 11-25Mar 22, 2024 to Mar 19, 2025
- Discretionary RAUM · $322M to $371MMar 22, 2024 to Mar 19, 2025
- HNW RAUM · $290M to $337MMar 22, 2024 to Mar 19, 2025
- Individual RAUM · $29.0M to $33.0MMar 22, 2024 to Mar 19, 2025
- Pension RAUM · $4.0M to $347,454Mar 22, 2024 to Mar 19, 2025
- RAUM · $322M to $371MMar 22, 2024 to Mar 19, 2025
- Accounts · 421 to 447Mar 29, 2023 to Mar 22, 2024
- HNW clients · 71 to 89Mar 29, 2023 to Mar 22, 2024
- Individual clients · 101 to 87Mar 29, 2023 to Mar 22, 2024
- Assets in custody · $3.4M to $4.1MMar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $266M to $322MMar 29, 2023 to Mar 22, 2024
- HNW RAUM · $231M to $290MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $32.4M to $29.0MMar 29, 2023 to Mar 22, 2024
- Pension RAUM · $3.1M to $4.0MMar 29, 2023 to Mar 22, 2024
- RAUM · $266M to $322MMar 29, 2023 to Mar 22, 2024
- Accounts · 403 to 421Jan 3, 2023 to Mar 29, 2023
- HNW clients · 75 to 71Jan 3, 2023 to Mar 29, 2023
- Individual clients · 94 to 101Jan 3, 2023 to Mar 29, 2023
- Pension plan clients · 1 to 2Jan 3, 2023 to Mar 29, 2023
- Assets in custody · $4.6M to $3.4MJan 3, 2023 to Mar 29, 2023
- Employees · 6 to 7Jan 3, 2023 to Mar 29, 2023
- Discretionary RAUM · $301M to $266MJan 3, 2023 to Mar 29, 2023
Signals
1 dated events
- Halver Jeffrey Novinger (Managing Member) no longer on Schedule A of N•• I••••••••• A•••••••• L•• (listed 2020-07-10, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
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
- 865-558-6192reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 865-584-1184reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.n••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 865.584.1184reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- n••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- n••••••••.comreportedpublished 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026