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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Former SEC-registered adviser
P••••••• W••••• A•••••••
Latest filing Mar 5, 2025
First filing on the tape Mar 6, 2012 · 22 filings
SEC status approved since Dec 11, 2006
RAUM
$936M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$675M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 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$936M as of Mar 5, 2025
Mar 6, 2012$212M then
HNW client RAUM$664M as of Mar 5, 2025
Mar 19, 2018$169M then
State-registered IARs (5.B.3)5 as of Mar 5, 2025
Mar 6, 20120 then
Employees (5.A)6 as of Mar 5, 2025
Mar 21, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+9.1% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 5, 2025; every figure names its basis
- RAUM per advisor
- $187MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$664M71%
- Banks and thrifts$206M22%
- Charitable organizations$28.0M3.0%
- Corporations and businesses$26.6M2.8%
- Individuals$10.8M1.2%
- Pension and profit-sharing plans$930,5620.1%
- Individual clients
- 13reported
- HNW clients
- 115reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 259reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $300M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- C•••••• B••••• P••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 9, 2025 · RIA to affiliated broker-dealer or bank
- N••••• S••••• K••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 7, 2025 · RIA to affiliated broker-dealer or bank
- R••••• B•••• S••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 16, 2016 · Other
Joined, latest
- C•••••• B••••• P••••• from T••••• A••••••• S•••••••• I•••May 11, 2021 · Affiliated broker-dealer or bank to independent RIA
- N••••• S••••• K••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 30, 2016 · Other
- R••••• B•••• S••••• from F•••• H•••••• A•••••••• I••Jul 15, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• D••••• K••• · Directorcontrolsince 08/2020 · owns less than 5%
- C•••••• J•••• D•••• · Directorcontrolsince 01/2024 · owns less than 5%
- E••••••• J••••••• D•••••• · Directorcontrolsince 10/2015 · owns less than 5%
- J••••• D••••• M••••• · Chief Compliance Officercontrolsince 10/2016 · owns less than 5%
- K•••••• N•••••• S••••• · Board Member, Presidentcontrolsince 11/2017 · owns less than 5%
Entity owners
- P••••••• F•••••••• P••••••• · Parent Companydirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- M••••• L•••••• B••••real estaten
- P••••••• B•••custodiann
- P••••••• F•••••••• P•••••••y
- P••• C•••••• M••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 264 to 259Mar 26, 2024 to Mar 5, 2025
- HNW clients · 117 to 115Mar 26, 2024 to Mar 5, 2025
- Individual clients · 14 to 13Mar 26, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Mar 5, 2025
- Discretionary RAUM · $817M to $936MMar 26, 2024 to Mar 5, 2025
- HNW RAUM · $571M to $664MMar 26, 2024 to Mar 5, 2025
- Individual RAUM · $9.3M to $10.8MMar 26, 2024 to Mar 5, 2025
- Pension RAUM · $821,667 to $930,562Mar 26, 2024 to Mar 5, 2025
- RAUM · $817M to $936MMar 26, 2024 to Mar 5, 2025
- Wrap assets (manager) · $265M to $300MMar 26, 2024 to Mar 5, 2025
- Accounts · 266 to 264Mar 30, 2023 to Mar 26, 2024
- BD registered reps · 1 to 2Mar 30, 2023 to Mar 26, 2024
- HNW clients · 121 to 117Mar 30, 2023 to Mar 26, 2024
- Individual clients · 15 to 14Mar 30, 2023 to Mar 26, 2024
- Employees · 4 to 6Mar 30, 2023 to Mar 26, 2024
- State-registered IARs · 3 to 5Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $699M to $817MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $499M to $571MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $7.0M to $9.3MMar 30, 2023 to Mar 26, 2024
- Pension RAUM · $658,552 to $821,667Mar 30, 2023 to Mar 26, 2024
- RAUM · $699M to $817MMar 30, 2023 to Mar 26, 2024
- Wrap assets (manager) · $239M to $265MMar 30, 2023 to Mar 26, 2024
- Accounts · 261 to 266Feb 3, 2023 to Mar 30, 2023
- Advisory employees · 4 to 3Feb 3, 2023 to Mar 30, 2023
- Corporate clients · 6 to 5Feb 3, 2023 to Mar 30, 2023
- HNW clients · 110 to 121Feb 3, 2023 to Mar 30, 2023
- Individual clients · 13 to 15Feb 3, 2023 to Mar 30, 2023
- Employees · 5 to 4Feb 3, 2023 to Mar 30, 2023
- State-registered IARs · 4 to 3Feb 3, 2023 to Mar 30, 2023
- Discretionary RAUM · $722M to $699MFeb 3, 2023 to Mar 30, 2023
- HNW RAUM · $459M to $499MFeb 3, 2023 to Mar 30, 2023
- Individual RAUM · $4.9M to $7.0MFeb 3, 2023 to Mar 30, 2023
- Pension RAUM · $808,000 to $658,552Feb 3, 2023 to Mar 30, 2023
- RAUM · $722M to $699MFeb 3, 2023 to Mar 30, 2023
- Wrap assets (manager) · $269M to $239MFeb 3, 2023 to Mar 30, 2023
- Accounts · 216 to 261Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 3 to 4Mar 31, 2021 to Mar 30, 2022
- HNW clients · 101 to 110Mar 31, 2021 to Mar 30, 2022
- Individual clients · 8 to 13Mar 31, 2021 to Mar 30, 2022
- Employees · 4 to 5Mar 31, 2021 to Mar 30, 2022
Signals
11 dated events
- P••••••• W••••• A••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $936.5M)Dec 20, 2025 · Left the SEC roster · derived
- C•••••• B••••• P••••• left P••••••• W••••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-05-07)Jun 9, 2025 · Advisor changed firm · fact
- N••••• S••••• K••••• left P••••••• W••••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-04-21)May 7, 2025 · Advisor changed firm · fact
- David John Cannon (Director) appeared on Schedule A of P••••••• W••••• A•••••••Mar 26, 2024 · Control person joined · fact
- K Donald Jenny (Director) no longer on Schedule A of P••••••• W••••• A••••••• (listed 2023-03-30, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- P••••••• W••••• A••••••• reported RAUM $721.8M, up 48% from $488.0M (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- P••••••• W••••• A••••••• reported RAUM $488.0M, up 48% from $330.6M (2020-06-25 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Dolan Robert Newman (Director) no longer on Schedule A of P••••••• W••••• A••••••• (listed 2020-06-25, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Kirk David Allen (Director) appeared on Schedule A of P••••••• W••••• A•••••••Mar 31, 2021 · Control person joined · fact
- P••••••• W••••• A••••••• reported RAUM $330.6M, up 48% from $223.5M (2019-03-28 to 2020-03-19)Mar 19, 2020 · RAUM change · derived
- P••••••• W••••• A••••••• reported RAUM $179.1M, down 36% from $282.0M (2017-03-30 to 2018-03-19)Mar 19, 2018 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026