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••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 15, 2012 · 33 filings
SEC status approved since Feb 12, 2004
RAUM
$759M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$741M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$759M as of Mar 18, 2026
Mar 15, 2012$110M then
HNW client RAUM$688M as of Mar 18, 2026
Feb 14, 2018$206M then
State-registered IARs (5.B.3)6 as of Mar 18, 2026
Mar 26, 20130 then
Employees (5.A)9 as of Mar 18, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +8.9% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 18, 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
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $627,393derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $358M, 199 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$688M91%
- Individuals$53.2M7.0%
- Charitable organizations$17.5M2.3%
- Individual clients
- 148reported
- HNW clients
- 175reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 1,209reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $358M for 199 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• E••••• M•••••••• | Brentwood, Tn | Aug 2, 2007 | 20 y | 0 |
| R••••• C••••••• L•••• | Brentwood, Tn | Feb 12, 2009 | 29 y | 1 |
| A••••• D•••• K•••• | Brentwood, Tn | May 23, 2018 | 11 y | 0 |
| P••• J•••• H••••• | Brentwood, Tn | May 25, 2021 | 19 y | 0 |
| L••••••• G••••••• | Brentwood, Tn | Aug 24, 2021 | 14 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- M•••••• S•••• O••••••• to F•••• P••••••• W•••••• L••Jul 13, 2026 · RIA to RIA
- W••• B•••••• to T•••••••• F•••••••• S•••••••• L••Nov 29, 2021 · RIA to RIA
- R••••• S•••••• B••••• to P•••••• W••••• M••••••••• L••Sep 10, 2007 · Other
Joined, latest
- L••••••• G••••••• from W••••••••• A••••••• P••••••• L••Aug 24, 2021 · RIA to RIA
- W••• B•••••• from W•••••• • R•••Oct 30, 2017 · Other
- R••••• C••••••• L•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 12, 2009 · Other
- R••••• S•••••• B••••• from U•• F•••••••• S••••••• I•••Feb 26, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• A•••••• D•••• · Trusteecontrolsince 05/2021 · owns 75% or more
- K••••• K••••• R••••• · Trusteecontrolsince 05/2021 · owns 75% or more
- M••••••••• K••••• E••••• · Chief Compliance Officercontrolsince 07/2005 · owns less than 5%
Entity owners
- P•••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- K•••• K•••• I••••••••real estaten
- O•• T•••••• A•••••• A•••••••• A• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brentwood, Tn · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 18, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-07-01, yes on the filing of 2026-03-18peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,195 to 1,209Jul 1, 2025 to Mar 18, 2026
- Advisory activities · 1 to 2Jul 1, 2025 to Mar 18, 2026
- Charity clients · 4 to 5Jul 1, 2025 to Mar 18, 2026
- HNW clients · 173 to 175Jul 1, 2025 to Mar 18, 2026
- Individual clients · 150 to 148Jul 1, 2025 to Mar 18, 2026
- Assets in custody · $373M to $358MJul 1, 2025 to Mar 18, 2026
- Discretionary RAUM · $697M to $759MJul 1, 2025 to Mar 18, 2026
- HNW RAUM · $633M to $688MJul 1, 2025 to Mar 18, 2026
- Individual RAUM · $50.2M to $53.2MJul 1, 2025 to Mar 18, 2026
- RAUM · $697M to $759MJul 1, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Feb 27, 2025 to Jul 1, 2025
- Accounts · 1,167 to 1,195Nov 19, 2024 to Feb 27, 2025
- HNW clients · 151 to 173Nov 19, 2024 to Feb 27, 2025
- Individual clients · 169 to 150Nov 19, 2024 to Feb 27, 2025
- Assets in custody · $275M to $373MNov 19, 2024 to Feb 27, 2025
- Financial planning clients · unset to 0Nov 19, 2024 to Feb 27, 2025
- Discretionary RAUM · $589M to $697MNov 19, 2024 to Feb 27, 2025
- HNW RAUM · $516M to $633MNov 19, 2024 to Feb 27, 2025
- Individual RAUM · $59.9M to $50.2MNov 19, 2024 to Feb 27, 2025
- RAUM · $589M to $697MNov 19, 2024 to Feb 27, 2025
- Accounts · 1,218 to 1,167Nov 7, 2023 to Feb 29, 2024
- HNW clients · 147 to 151Nov 7, 2023 to Feb 29, 2024
- Individual clients · 174 to 169Nov 7, 2023 to Feb 29, 2024
- Assets in custody · $215M to $275MNov 7, 2023 to Feb 29, 2024
- Discretionary RAUM · $506M to $589MNov 7, 2023 to Feb 29, 2024
- HNW RAUM · $437M to $516MNov 7, 2023 to Feb 29, 2024
- Individual RAUM · $60.8M to $59.9MNov 7, 2023 to Feb 29, 2024
- RAUM · $506M to $589MNov 7, 2023 to Feb 29, 2024
- Accounts · 1,257 to 1,218Jan 3, 2023 to Mar 24, 2023
- Advisory employees · 4 to 6Jan 3, 2023 to Mar 24, 2023
- Advisory activities · 2 to 1Jan 3, 2023 to Mar 24, 2023
- Charity clients · 5 to 4Jan 3, 2023 to Mar 24, 2023
- HNW clients · 262 to 147Jan 3, 2023 to Mar 24, 2023
- Individual clients · 267 to 174Jan 3, 2023 to Mar 24, 2023
- Assets in custody · $208M to $215MJan 3, 2023 to Mar 24, 2023
- Employees · 7 to 9Jan 3, 2023 to Mar 24, 2023
- Financial planning clients · 51-100 to unsetJan 3, 2023 to Mar 24, 2023
- State-registered IARs · 5 to 6Jan 3, 2023 to Mar 24, 2023
- Discretionary RAUM · $535M to $506MJan 3, 2023 to Mar 24, 2023
- HNW RAUM · $469M to $437MJan 3, 2023 to Mar 24, 2023
Signals
7 dated events
- M•••••• S•••• O••••••• left P•••••••• W••••• M••••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2026-07-21)Jul 13, 2026 · a•••••• firm change · fact
- R••••• S••••• K•••• (Trustee) no longer on Schedule A of P•••••••• W••••• M••••••••• L•• (listed 2023-01-03, absent 2023-03-24)Mar 24, 2023 · Control person left · inference
- P•••••••• W••••• M••••••••• L•• reported RAUM $534.9M, up 30% from $413.0M (2021-06-17 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Charlton R. Lentz (Vp Of Investment Mgmt) no longer on Schedule A of P•••••••• W••••• M••••••••• L•• (listed 2021-03-10, absent 2021-06-17)Jun 17, 2021 · Control person left · inference
- R. Keith K•••• (Trustee) appeared on Schedule A of P•••••••• W••••• M••••••••• L••Jun 17, 2021 · Control person joined · fact
- R••••• S••••• K•••• (Trustee) appeared on Schedule A of P•••••••• W••••• M••••••••• L••Jun 17, 2021 · Control person joined · fact
- Andrew K•••• (Trustee) appeared on Schedule A of P•••••••• W••••• M••••••••• L••Mar 27, 2019 · Control person joined · 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
- Principal office phone
- 615-656-4050reportedpublic record, Form ADV, Mar 18, 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026