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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••• I••••••••• M••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Mar 23, 2012 · 19 filings
SEC status approved since Jul 23, 2007
RAUM
$425M
reported, Item 5.F
Discretionary
14%
of RAUM
Private clients
95%
$403M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$213M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$425M as of Mar 2, 2026
Mar 23, 2012$160M then
HNW client RAUM$386M as of Mar 2, 2026
Mar 20, 2018$205M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Mar 23, 20120 then
Employees (5.A)6 as of Mar 2, 2026
Mar 15, 20134 then
Private funds1 as of Feb 27, 2015
Mar 23, 20121 then
RAUM +5.5% over the last fiscal year+8.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $213MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $24.1MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 14%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $11.4M, 22 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$386M91%
- Charitable organizations$21.8M5.1%
- Individuals$17.1M4.0%
- Individual clients
- 47reported
- HNW clients
- 16reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 170reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.4M for 22 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••• P••••• | Tullahoma, Tn | May 11, 2005 | 22 y | 1 |
| J••••••• F••••• E•••••• | Tullahoma, Tn | Oct 3, 2016 | 23 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
- J••••• D•••• C••••••••• to N•••••• V•••• P•••••••Mar 3, 2023 · RIA to a state-registered adviser
- D•••• W•••• B••• to S•••• B••••• A•••• M••••••••• L••Mar 19, 2012 · Other
- E••• M•••••• B•••• to S•••• B••••• A•••• M••••••••• L••Mar 19, 2012 · Other
Joined, latest
- D•••• W•••• B••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 11, 2010 · Other
- E••• M•••••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 11, 2010 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• S••••• M•••••• T••••no longer reported | Hedge Fund | $37.6M | 4 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• J•••• B••••• · Membercontrolsince 01/2002 · owns 25% to 50%
- P•••••• D••••• W•••• · Member/Chief Compliance Officercontrolsince 01/2002 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Tullahoma, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN3 employees
What changed
consecutive filings, newest first
- Accounts · 187 to 170Feb 27, 2025 to Mar 2, 2026
- Advisory employees · 4 to 2Feb 27, 2025 to Mar 2, 2026
- HNW clients · 18 to 16Feb 27, 2025 to Mar 2, 2026
- Individual clients · 43 to 47Feb 27, 2025 to Mar 2, 2026
- Assets in custody · $48.8M to $11.4MFeb 27, 2025 to Mar 2, 2026
- Financial planning clients · 1-10 to Feb 27, 2025 to Mar 2, 2026
- Discretionary RAUM · $49.6M to $58.1MFeb 27, 2025 to Mar 2, 2026
- HNW RAUM · $366M to $386MFeb 27, 2025 to Mar 2, 2026
- Individual RAUM · $14.6M to $17.1MFeb 27, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $353M to $367MFeb 27, 2025 to Mar 2, 2026
- RAUM · $403M to $425MFeb 27, 2025 to Mar 2, 2026
- Accounts · 174 to 187Mar 8, 2024 to Feb 27, 2025
- Advisory employees · 3 to 4Mar 8, 2024 to Feb 27, 2025
- HNW clients · 14 to 18Mar 8, 2024 to Feb 27, 2025
- Individual clients · 49 to 43Mar 8, 2024 to Feb 27, 2025
- Assets in custody · $25.0M to $48.8MMar 8, 2024 to Feb 27, 2025
- Employees · 5 to 6Mar 8, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 1-10Mar 8, 2024 to Feb 27, 2025
- Discretionary RAUM · $49.4M to $49.6MMar 8, 2024 to Feb 27, 2025
- HNW RAUM · $351M to $366MMar 8, 2024 to Feb 27, 2025
- Individual RAUM · $13.2M to $14.6MMar 8, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $336M to $353MMar 8, 2024 to Feb 27, 2025
- RAUM · $385M to $403MMar 8, 2024 to Feb 27, 2025
- Corporate clients · unset to 0.0Feb 24, 2023 to Mar 8, 2024
- HNW clients · 18 to 14Feb 24, 2023 to Mar 8, 2024
- Individual clients · 35 to 49Feb 24, 2023 to Mar 8, 2024
- Assets in custody · $29.7M to $25.0MFeb 24, 2023 to Mar 8, 2024
- Discretionary RAUM · $22.1M to $49.4MFeb 24, 2023 to Mar 8, 2024
- HNW RAUM · $301M to $351MFeb 24, 2023 to Mar 8, 2024
- Individual RAUM · $9.2M to $13.2MFeb 24, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $309M to $336MFeb 24, 2023 to Mar 8, 2024
- RAUM · $331M to $385MFeb 24, 2023 to Mar 8, 2024
- Accounts · 176 to 174Nov 10, 2022 to Feb 24, 2023
- HNW clients · 19 to 18Nov 10, 2022 to Feb 24, 2023
- Individual clients · 38 to 35Nov 10, 2022 to Feb 24, 2023
- Assets in custody · $42.3M to $29.7MNov 10, 2022 to Feb 24, 2023
- Employees · 6 to 5Nov 10, 2022 to Feb 24, 2023
- Financial planning clients · 1-10 to 0Nov 10, 2022 to Feb 24, 2023
- State-registered IARs · 3 to 2Nov 10, 2022 to Feb 24, 2023
- Discretionary RAUM · $47.7M to $22.1MNov 10, 2022 to Feb 24, 2023
Signals
2 dated events
- J••••• D•••• C••••••••• left A••••• I••••••••• M••••••••• L•• for N•••••• V•••• P••••••• (registered 2024-12-09)Mar 3, 2023 · Advisor changed firm · fact
- A••••• I••••••••• M••••••••• L•• reported RAUM $391.6M, up 37% from $286.3M (2021-03-25 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
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
- 931-461-5733reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (931) 461-5733reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- a•••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $213Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026