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
B••••• F••••••••
Legal name B••••• F••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2012 · 24 filings
SEC status approved since May 13, 2008
RAUM
$577M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$568M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$82.4M
derived; firm RAUM over IAPD count
Employees
31
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$577M as of Mar 31, 2026
Mar 26, 2012$102M then
HNW client RAUM$327M as of Mar 31, 2026
Mar 31, 2018$53.0M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 26, 20120 then
Employees (5.A)31 as of Mar 31, 2026
Mar 12, 201310 then
Private funds: no history
RAUM +8.2% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $275,700derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.9derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminars, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$327M57%
- Individuals$240M42%
- Corporations and businesses$8.4M1.5%
- Charitable organizations$936,4300.2%
- Individual clients
- 582reported
- HNW clients
- 159reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 2,093reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••••• B••••• | Knoxville, Tn | Feb 14, 2005 | 25 y | 0 |
| P•••• D••••• S••••••• | Knoxville, Tn | Jun 20, 2014 | 35 y | 0 |
| M••• R•••••• S••••• | Knoxville, Tn | Sep 2, 2021 | 15 y | 1 |
| E••• L•• B•••• | Knoxville, Tn | Sep 8, 2021 | 12 y | 1 |
| B•••• A••••• P••••• | Knoxville, Tn | Feb 6, 2026 | 12 y | 0 |
| J•••• S••••• | Knoxville, Tn | Apr 8, 2026 | 12 y | 1 |
| T•••• E••• S••••••• | Knoxville, Tn | Jun 18, 2026 | 10 y | 0 |
| J••• A••• M••••••• | Knoxville, Tn | Sep 14, 2026 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- J•••• N••••• K•••••• to V•••••••• H•••••••• L••Jun 17, 2024 · RIA to RIA
- J•• E•••••• K••••• to F••••••••Dec 8, 2023 · RIA to RIA
- A•••• M•••••• B••• to F••••May 4, 2021 · RIA to RIA
- R•••••• P••••••••• to E••••• J••••Jul 17, 2019 · RIA to affiliated broker-dealer or bank
- A••••• D•••• N••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 21, 2018 · RIA to affiliated broker-dealer or bank
- B•••••• M•••••• A•••• to P•••••• I••••••••• M••••••••• G•••• I••Aug 9, 2017 · Other
- D•••••• D••• M•••••• to T•• M•••••• G••••• L••Nov 11, 2008 · Other
Joined, latest
- J•••• S••••• from C••••••••• F•••••••• N••••••Apr 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•• E•••••• K••••• from U•• F•••••••• S••••••••• L••Sep 28, 2023 · RIA to RIA
- E••• L•• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 8, 2021 · Wirehouse to independent RIA
- M••• R•••••• S••••• from A••••••••• F•••••••• S•••••••• L••Sep 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••• M•••••• B••• from I• A••••••• S•••••••• I•••Dec 11, 2018 · Affiliated broker-dealer or bank to independent RIA
- R•••••• P••••••••• from W•••• F•••• A•••••••Oct 9, 2018 · Wirehouse to independent RIA
- A••••• D•••• N••••••• from S••••••• I••••••••• S•••••••• I•••Apr 28, 2016 · Other
- J•••• N••••• K•••••• from V•••• F•••••••• A•••••••• I•••Jun 25, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• E••••• · President/Chief Investment Officercontrolsince 07/2001 · owns 75% or more
- S•••••• S••••• J••• · Chief Compliance Officersince 10/2021 · owns less than 5%
Related persons
Schedule D 7.A
- B••••• F•••••••• I•••••••• P••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Knoxville, TN4 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Mar 31, 2026employees per registered advisor of 3.9 against a peer median of 1.4 (950 comparable advisers, 99.0th percentile, 6.3 robust deviations)peers: independent wealth managers, $500M to $1B (950) · 99% percentile
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 20.0 to 31.0 (+55.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (596 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (596) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,055 to 2,093Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Charity clients · 3 to 2Mar 31, 2025 to Mar 31, 2026
- HNW clients · 163 to 159Mar 31, 2025 to Mar 31, 2026
- Individual clients · 592 to 582Mar 31, 2025 to Mar 31, 2026
- Employees · 20 to 31Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $515M to $566MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $308M to $327MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $211M to $240MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $18.1M to $11.3MMar 31, 2025 to Mar 31, 2026
- RAUM · $533M to $577MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jul 31, 2024 to Mar 31, 2025
- Accounts · 1,883 to 2,055Jul 31, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Jul 31, 2024 to Mar 31, 2025
- Charity clients · 1 to 3Jul 31, 2024 to Mar 31, 2025
- Corporate clients · unset to 3.0Jul 31, 2024 to Mar 31, 2025
- HNW clients · 130 to 163Jul 31, 2024 to Mar 31, 2025
- Individual clients · 561 to 592Jul 31, 2024 to Mar 31, 2025
- Employees · 22 to 20Jul 31, 2024 to Mar 31, 2025
- Other offices · 1 to 0Jul 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $429M to $515MJul 31, 2024 to Mar 31, 2025
- HNW RAUM · $243M to $308MJul 31, 2024 to Mar 31, 2025
- Individual RAUM · $201M to $211MJul 31, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $15.7M to $18.1MJul 31, 2024 to Mar 31, 2025
- RAUM · $444M to $533MJul 31, 2024 to Mar 31, 2025
- Other offices · 2 to 1May 1, 2024 to Jul 10, 2024
- Other offices · 1 to 2Mar 28, 2024 to May 1, 2024
- Accounts · 1,782 to 1,883Mar 31, 2023 to Mar 28, 2024
- HNW clients · 126 to 130Mar 31, 2023 to Mar 28, 2024
- Individual clients · 540 to 561Mar 31, 2023 to Mar 28, 2024
- Employees · 19 to 22Mar 31, 2023 to Mar 28, 2024
- Other offices · 0 to 1Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $366M to $429MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $172M to $243MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $208M to $201MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $14.2M to $15.7MMar 31, 2023 to Mar 28, 2024
- RAUM · $381M to $444MMar 31, 2023 to Mar 28, 2024
- Accounts · 1,637 to 1,782Mar 31, 2022 to Mar 31, 2023
- Charity clients · unset to 1.0Mar 31, 2022 to Mar 31, 2023
- HNW clients · 115 to 126Mar 31, 2022 to Mar 31, 2023
Signals
4 dated events
- J••• A••• M••••••• registered as an investment adviser representative at B••••• F••••••••Sep 14, 2026 · Advisor registered · fact
- J•••• N••••• K•••••• left B••••• F•••••••• for V•••••••• H•••••••• L•• (registered 2025-08-04)Jun 17, 2024 · Advisor changed firm · fact
- J•• E•••••• K••••• left B••••• F•••••••• for Forefront (registered 2025-06-17)Dec 8, 2023 · Advisor changed firm · fact
- Ann Theresa Muller (Chief Compliance Officer) no longer on Schedule A of B••••• F•••••••• (listed 2021-03-31, absent 2021-10-01)Oct 1, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 865-539-7167reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 865-862-6800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 865-862-6818reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/brogan-financial-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- brogantaxplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (865) 862-6800reportedpublic record, Form ADV, Mar 31, 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
- $82.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026