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

C• S••••••••• L••

Independent wealth managerKnoxville, TennesseeCRD 124496SEC 801-135859IAPD
Latest filing Sep 9, 2026
First filing on the tape May 28, 2026 · 3 filings
SEC status approved since May 29, 2026
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$113M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.8M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$113M as of Jun 3, 2026
May 28, 2026$113M then
HNW client RAUM$107M as of Jun 3, 2026
May 28, 2026$107M then
State-registered IARs (5.B.3)3 as of Jun 3, 2026
May 28, 20263 then
Employees (5.A)3 as of Jun 3, 2026
May 28, 20263 then
Private funds: no history
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$37.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$984,061derivedHNW RAUM over HNW clients
Average account
$782,610derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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$107M95%
  • Individuals$6.2M5.5%
Individual clients
36reported
HNW clients
109reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
145reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••••• R••••• H•••Knoxville, TnJul 16, 201810 y2
M•••••• E••••• C••Naples , Fl Jan 1, 202535 y1
J••••• L•• S••••••Knoxville, TnJan 2, 202535 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••• M•••••• E••••• · President/Chief Compliance Officercontrol
    since 02/2002 · owns 75% or more
  • H•••• M••••• R••••• · Finopcontrol
    since 08/2019 · owns less than 5%
  • C••••••• N•••• H••••• · Minority Owner
    since 12/2016 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Knoxville, Tn · principal300
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Financial planning clients · 1-10 to 1-10
    Jun 3, 2026 to Sep 9, 2026
  • Succession · false to unset
    Jun 3, 2026 to Sep 9, 2026
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
865 690-9886reportedpublic record, Form ADV, Sep 9, 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
$37.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026