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
Campbell Asset Management, LLC
Latest filing Aug 4, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Apr 11, 2016
RAUM
$146M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$139M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$146M as of Aug 4, 2026
Mar 30, 2012$101M then
HNW client RAUM$110M as of Aug 4, 2026
Mar 20, 2018$61.2M then
State-registered IARs (5.B.3)3 as of Aug 4, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Aug 4, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Aug 4, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $48.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $351,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $49.9M, 116 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$110M75%
- Individuals$29.3M20%
- Charitable organizations$4.9M3.4%
- Pension and profit-sharing plans$1.7M1.2%
- Corporations and businesses$95,9070.1%
- Individual clients
- 116reported
- HNW clients
- 52reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 416reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.9M for 116 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| James Perry CampbellCertified Financial Planner | Chattanooga, Tn | Jun 21, 2004 | 30 y | 0 |
| Ashley Jill Heck | Chattanooga, Tn | May 4, 2017 | 11 y | 1 |
| Jacob Ashton Higgins | Chattanooga, Tn | Aug 28, 2025 | 18 y | 1 |
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
- Bradley Clay Rooks to Rooks Wealth Advisors, LLCJul 13, 2021 · RIA to a state-registered adviser
- Thomas Wayne Francescon to Demoss Capital, Inc.Mar 26, 2013 · Other
Joined, latest
- Jacob Ashton Higgins from MML Investors Services, LLCAug 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- Ashley Jill Heck from Patten And Patten, Inc.May 4, 2017 · Other
- Bradley Clay Rooks from Rooks Wealth Management, PllcJan 12, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Perry James Campbell · Principal, Managing Member, Chief Investment Officer & Chief Compliance Officercontrolsince 01/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Chattanooga, Tn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 401 to 416Mar 14, 2025 to Mar 5, 2026
- Advisory employees · 2 to 3Mar 14, 2025 to Mar 5, 2026
- HNW clients · 45 to 52Mar 14, 2025 to Mar 5, 2026
- Pension plan clients · 2 to 1Mar 14, 2025 to Mar 5, 2026
- Assets in custody · $44.0M to $49.9MMar 14, 2025 to Mar 5, 2026
- Employees · 2 to 4Mar 14, 2025 to Mar 5, 2026
- State-registered IARs · 2 to 3Mar 14, 2025 to Mar 5, 2026
- Discretionary RAUM · $126M to $145MMar 14, 2025 to Mar 5, 2026
- HNW RAUM · $87.8M to $110MMar 14, 2025 to Mar 5, 2026
- Individual RAUM · $32.4M to $29.3MMar 14, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $952,966 to $1.1MMar 14, 2025 to Mar 5, 2026
- Pension RAUM · $1.6M to $1.7MMar 14, 2025 to Mar 5, 2026
- RAUM · $127M to $146MMar 14, 2025 to Mar 5, 2026
- Accounts · 398 to 401Dec 16, 2024 to Mar 14, 2025
- Individual clients · 118 to 116Dec 16, 2024 to Mar 14, 2025
- Assets in custody · $37.9M to $44.0MDec 16, 2024 to Mar 14, 2025
- Financial planning clients · 11-25 to 11-25Dec 16, 2024 to Mar 14, 2025
- Discretionary RAUM · $108M to $126MDec 16, 2024 to Mar 14, 2025
- HNW RAUM · $76.3M to $87.8MDec 16, 2024 to Mar 14, 2025
- Individual RAUM · $27.4M to $32.4MDec 16, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $846,622 to $952,966Dec 16, 2024 to Mar 14, 2025
- Pension RAUM · $1.4M to $1.6MDec 16, 2024 to Mar 14, 2025
- RAUM · $109M to $127MDec 16, 2024 to Mar 14, 2025
- Advisory employees · 3 to 2Mar 27, 2024 to Dec 16, 2024
- Employees · 3 to 2Mar 27, 2024 to Dec 16, 2024
- State-registered IARs · 3 to 2Mar 27, 2024 to Dec 16, 2024
- Accounts · 349 to 398May 4, 2023 to Mar 13, 2024
- Advisory employees · 2 to 3May 4, 2023 to Mar 13, 2024
- Corporate clients · 2 to 1May 4, 2023 to Mar 13, 2024
- HNW clients · 35 to 45May 4, 2023 to Mar 13, 2024
- Individual clients · 108 to 118May 4, 2023 to Mar 13, 2024
- Assets in custody · $31.8M to $37.9MMay 4, 2023 to Mar 13, 2024
- Employees · 2 to 3May 4, 2023 to Mar 13, 2024
- State-registered IARs · 2 to 3May 4, 2023 to Mar 13, 2024
- Discretionary RAUM · $90.7M to $108MMay 4, 2023 to Mar 13, 2024
- HNW RAUM · $58.4M to $76.3MMay 4, 2023 to Mar 13, 2024
- Individual RAUM · $28.8M to $27.4MMay 4, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $789,158 to $846,622May 4, 2023 to Mar 13, 2024
- Pension RAUM · $1.2M to $1.4MMay 4, 2023 to Mar 13, 2024
- RAUM · $91.4M to $109MMay 4, 2023 to Mar 13, 2024
Signals
2 dated events
- Clay Bradley Rooks (Principal, Managing Member, Investment Adviser Representative) no longer on Schedule A of Campbell Asset Management, Llc (listed 2021-08-04, absent 2021-08-04)Aug 4, 2021 · Control person left · inference
- Campbell Asset Management, L.L.C. filed its initial SEC registration (Form ADV)Mar 28, 2016 · First SEC registration · 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
- 423-265-7931reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- campbellassetmanagement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 423-265-7931reportedpublic record, Form ADV, Aug 4, 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
- $48.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026