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.
Former SEC-registered adviser
C & J Wealth Advisors
Legal name Coulter & Justus Financial Services, LLC
Latest filing Mar 13, 2024
First filing on the tape Dec 5, 2011 · 34 filings
RAUM
$270M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$263M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$270M as of Mar 13, 2024
Mar 23, 2012$139M then
HNW client RAUM$214M as of Mar 13, 2024
Mar 14, 2018$125M then
State-registered IARs (5.B.3)6 as of Mar 13, 2024
Mar 23, 20120 then
Employees (5.A)6 as of Mar 13, 2024
Jan 5, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+6.5% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
- RAUM per advisor
- $45.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $270,938derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $113M, 188 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$214M79%
- Individuals$48.3M18%
- Pension and profit-sharing plans$4.4M1.6%
- Charitable organizations$1.4M0.5%
- Corporations and businesses$1.4M0.5%
- Individual clients
- 225reported
- HNW clients
- 159reported
- Pension plan clients
- 4reported
- Charitable clients
- 5reported
- Accounts
- 996reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $113M for 188 clientsreported
- 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
- Jennifer Clark Huskey to Modern Wealth Management, LLCJul 15, 2024 · RIA to RIA
- Jeffrey Alan Loos to Modern Wealth Management, LLCJul 15, 2024 · RIA to RIA
- Jeffrey Mark King to Modern Wealth Management, LLCJul 15, 2024 · RIA to RIA
- Robert Scott Smith to Modern Wealth Management, LLCJul 15, 2024 · RIA to RIA
- Daniel Stephen Reller to Northwestern Mutual Investment Services,LLCJun 7, 2024 · Other
- Douglas Leonard Whitten to M Holdings Securities, Inc.Jun 7, 2024 · RIA to affiliated broker-dealer or bank
- Tracy John Hurst to 23 Wealth LLCMay 3, 2016 · Other
- Donald Eugene Nalls to The Nalls Sherbakoff Group, LLCOct 4, 2013 · Other
- Michael Thomas Simpson to Visionary Horizons, LLCFeb 8, 2013 · Other
- John Mack Majors to Cetera Advisor Networks LLCMar 31, 2010 · Other
Joined, latest
- Douglas Leonard Whitten from Securities America Advisors, Inc.Apr 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- Donald Eugene Nalls from Patriot Investment Management Group IncDec 3, 2012 · Other
- Robert Scott Smith from International Management Associates, LLCOct 8, 2010 · Other
- Jeffrey Alan Loos from MML Investors Services, LLCMay 12, 2010 · Other
- Michael Thomas Simpson from Concourse Financial Group AdvisorsSep 15, 2009 · Other
- Jeffrey Mark King from Investment Planning Services, Inc.Feb 22, 2005 · Other
- John Mack Majors from MML Investors Services, LLCFeb 4, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Modern Wealth Management, LLCJul 15, 2024 · Knoxville, Tn · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christy Burgess · Membercontrolsince 01/2024 · owns 5% to 10%
- Joel Todd Harms · Membercontrolsince 07/2012 · owns 5% to 10%
- Clark Jennifer Huskey · Chief Compliance Officer And Chief Operations Officercontrolsince 03/2021 · owns less than 5%
- Mark Jeffrey King · Chief Managercontrolsince 03/2008 · owns 5% to 10%
- Lee Kevin Mccollum · Membercontrolsince 07/2013 · owns 5% to 10%
- Scott Michael Parton · Membercontrolsince 11/2004 · owns 5% to 10%
- Scott Robert Smith · Membercontrolsince 01/2016 · owns 5% to 10%
- John Robert Wildi · Membercontrolsince 07/2011 · owns 5% to 10%
- Rae Susan Beavers · Membersince 01/2021 · owns 5% to 10%
- Meggan Dawn Doucette · Membersince 01/2023 · owns 5% to 10%
- Pierce Wendy Hill · Equity Membersince 01/2018 · owns 5% to 10%
- Jill Neace · Membersince 01/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- Cjis, LLCreal estaten
- Coulter & Justus, Pcinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 955 to 996Nov 1, 2023 to Mar 13, 2024
- Charity clients · 4 to 5Nov 1, 2023 to Mar 13, 2024
- HNW clients · 158 to 159Nov 1, 2023 to Mar 13, 2024
- Individual clients · 216 to 225Nov 1, 2023 to Mar 13, 2024
- Pension plan clients · 3 to 4Nov 1, 2023 to Mar 13, 2024
- Assets in custody · $88.3M to $113MNov 1, 2023 to Mar 13, 2024
- Discretionary RAUM · $229M to $264MNov 1, 2023 to Mar 13, 2024
- HNW RAUM · $185M to $214MNov 1, 2023 to Mar 13, 2024
- Individual RAUM · $42.9M to $48.3MNov 1, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $4.7M to $5.8MNov 1, 2023 to Mar 13, 2024
- Pension RAUM · $3.3M to $4.4MNov 1, 2023 to Mar 13, 2024
- RAUM · $234M to $270MNov 1, 2023 to Mar 13, 2024
- Accounts · 932 to 955Aug 19, 2022 to Mar 16, 2023
- Advisory employees · 5 to 6Aug 19, 2022 to Mar 16, 2023
- Advisory activities · 3 to 4Aug 19, 2022 to Mar 16, 2023
- HNW clients · 154 to 158Aug 19, 2022 to Mar 16, 2023
- Individual clients · 215 to 216Aug 19, 2022 to Mar 16, 2023
- Assets in custody · $84.8M to $88.3MAug 19, 2022 to Mar 16, 2023
- Employees · 5 to 6Aug 19, 2022 to Mar 16, 2023
- State-registered IARs · 5 to 6Aug 19, 2022 to Mar 16, 2023
- Other offices · 1 to 0Aug 19, 2022 to Mar 16, 2023
- Discretionary RAUM · $243M to $229MAug 19, 2022 to Mar 16, 2023
- HNW RAUM · $204M to $185MAug 19, 2022 to Mar 16, 2023
- Individual RAUM · $41.2M to $42.9MAug 19, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $9.0M to $4.7MAug 19, 2022 to Mar 16, 2023
- Pension RAUM · $3.6M to $3.3MAug 19, 2022 to Mar 16, 2023
- RAUM · $252M to $234MAug 19, 2022 to Mar 16, 2023
- HQ city · OAK RIDGE to KNOXVILLEMar 10, 2022 to Jun 10, 2022
- Accounts · 914 to 932Sep 24, 2021 to Mar 10, 2022
- Advisory employees · 4 to 5Sep 24, 2021 to Mar 10, 2022
- Charity clients · 3 to 4Sep 24, 2021 to Mar 10, 2022
- HNW clients · 144 to 154Sep 24, 2021 to Mar 10, 2022
- Individual clients · 214 to 215Sep 24, 2021 to Mar 10, 2022
- Pension plan clients · 2 to 3Sep 24, 2021 to Mar 10, 2022
- Assets in custody · $77.9M to $84.8MSep 24, 2021 to Mar 10, 2022
- Employees · 4 to 5Sep 24, 2021 to Mar 10, 2022
- State-registered IARs · 4 to 5Sep 24, 2021 to Mar 10, 2022
- Discretionary RAUM · $215M to $243MSep 24, 2021 to Mar 10, 2022
- HNW RAUM · $178M to $204MSep 24, 2021 to Mar 10, 2022
- Individual RAUM · $40.1M to $41.2MSep 24, 2021 to Mar 10, 2022
Signals
16 dated events
- Jeffrey Mark King left C & J Wealth Advisors for Modern Wealth Management, Llc (registered 2024-07-01)Jul 15, 2024 · Advisor changed firm · fact
- Jeffrey Alan Loos left C & J Wealth Advisors for Modern Wealth Management, Llc (registered 2024-07-01)Jul 15, 2024 · Advisor changed firm · fact
- Jennifer Clark Huskey left C & J Wealth Advisors for Modern Wealth Management, Llc (registered 2024-07-08)Jul 15, 2024 · Advisor changed firm · fact
- Robert Scott Smith left C & J Wealth Advisors for Modern Wealth Management, Llc (registered 2024-07-08)Jul 15, 2024 · Advisor changed firm · fact
- C & J Wealth Advisors's advisors moved to Modern Wealth Management, LLC (Knoxville, TN): 4 of 4 registered, on the same dayJul 15, 2024 · Firm absorbed (people side) · derived
- Daniel Stephen Reller left C & J Wealth Advisors for Northwestern Mutual Investment Services,Llc (registered 2025-03-14)Jun 7, 2024 · Advisor changed firm · fact
- Douglas Leonard Whitten left C & J Wealth Advisors for M Holdings Securities, Inc. (registered 2024-06-06)Jun 7, 2024 · Advisor changed firm · fact
- Christy Burgess (Member) appeared on Schedule A of C & J Wealth AdvisorsMar 13, 2024 · Control person joined · fact
- Conor Kevin Odonoghue (Member) no longer on Schedule A of C & J Wealth Advisors (listed 2023-11-01, absent 2024-03-13)Mar 13, 2024 · Control person left · inference
- Anne Julie Wheeler (Member) no longer on Schedule A of C & J Wealth Advisors (listed 2023-11-01, absent 2024-03-13)Mar 13, 2024 · Control person left · inference
- Lee Donald Talbott (Member) no longer on Schedule A of C & J Wealth Advisors (listed 2022-08-19, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- Alan Marc Zuckerman (Member) no longer on Schedule A of C & J Wealth Advisors (listed 2022-08-19, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- Crawford Nanette Bobbett (Member) no longer on Schedule A of C & J Wealth Advisors (listed 2021-09-24, absent 2022-03-10)Mar 10, 2022 · Control person left · inference
- Alan Richard Jackson (Member) no longer on Schedule A of C & J Wealth Advisors (listed 2021-09-24, absent 2022-03-10)Mar 10, 2022 · Control person left · inference
- Clark Jennifer Huskey (Chief Compliance Officer And Chief Operations Officer) appeared on Schedule A of C & J Wealth AdvisorsMar 16, 2021 · Control person joined · fact
- Eugene Ronnie Pratt (Member) no longer on Schedule A of C & J Wealth Advisors (listed 2019-03-27, absent 2020-03-19)Mar 19, 2020 · Control person left · inference
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