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.
SEC-registered adviser
Pya Waltman Capital, LLC
Latest filing Mar 2, 2026
First filing on the tape Feb 6, 2012 · 25 filings
SEC status approved since Dec 9, 2005
RAUM
$1.0B
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
68%
$681M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.0B as of Mar 2, 2026
Feb 6, 2012$539M then
HNW client RAUM$616M as of Mar 2, 2026
Jan 31, 2018$146M then
State-registered IARs (5.B.3)8 as of Mar 2, 2026
Feb 7, 20135 then
Employees (5.A)17 as of Mar 2, 2026
Feb 7, 20139 then
Private funds: no history
RAUM +23% over the last fiscal year+5.2% a year over threeIARs 11 to 8offices 2 to 0
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
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $658,358derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -27%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$616M61%
- Charitable organizations$185M18%
- Pension and profit-sharing plans$133M13%
- Individuals$65.7M6.5%
- Corporations and businesses$6.5M0.6%
- Individual clients
- 206reported
- HNW clients
- 192reported
- Pension plan clients
- 15reported
- Charitable clients
- 8reported
- Accounts
- 1,528reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric E FosterCertified Financial Planner | Knoxville, Tn | Nov 29, 2007 | 23 y | 2 |
| Jack William WaltmanCertified Financial Planner | Knoxville, Tn | Nov 29, 2007 | 27 y | 2 |
| Melissa Kesling BallardCertified Financial Planner | Knoxville, Tn | Nov 24, 2008 | 18 y | 0 |
| Aaron Matthew SamsChartered Financial Analyst | Knoxville, Tn | Mar 11, 2011 | 15 y | 0 |
| Austin Miller Koplan | Knoxville, Tn | Jun 3, 2021 | 14 y | 0 |
| Aaron Michael NolanCertified Financial Planner | Salem, Va | Jan 18, 2022 | 21 y | 0 |
| Claire Covey KluthCertified Financial Planner | Knoxville, Tn | Feb 5, 2024 | 14 y | 0 |
| Douglas Andrew Yoakley | Knoxville, Tn | May 7, 2025 | 11 y | 0 |
| Caden Jason MumfordCertified Financial Planner | Knoxville, Tn | Mar 10, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount4 left over 36 months
Left, latest
- Trevor Wayne Gunter to Four Pines FinancialOct 31, 2025 · RIA to a state-registered adviser
- Jacob R Hoheisel to Robert W. Baird & Co. IncorporatedAug 29, 2025 · RIA to RIA
- Mary Alexander Ballard to Sagespring Wealth PartnersMay 16, 2025 · RIA to RIA
- Payton N Vestrand to Morgan StanleyJan 7, 2025 · RIA to wirehouse
- Roch Earl Monnig to Origin Investment Advisory LLCMay 27, 2022 · RIA to RIA
- Jonathan Mills to Blue Ridge Wealth PlannersJun 29, 2020 · RIA to RIA
- Nathan Kelly Smith to Rather & Kittrell, Inc.Apr 30, 2015 · Other
Joined, latest
- Payton N Vestrand from J.P. Morgan Securities LLCAug 23, 2023 · Wirehouse to independent RIA
- Jack William Waltman from Cambridge Investment Research Advisors, Inc.Nov 29, 2007 · Other
- Eric E Foster from Cambridge Investment Research Advisors, Inc.Nov 29, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William Jack Waltman · President, Membercontrolsince 10/2005 · owns 25% to 50%
- Andrew Douglas Yoakley · Membercontrolsince 10/2005 · owns 25% to 50%
- Kesling Melissa Ballard · Membersince 07/2024 · owns less than 5%
- Douglas Martin Brown · Membersince 10/2005 · owns less than 5%
- E Eric Foster · Membersince 01/2007 · owns 10% to 25%
- Paul Gregory Gheen · Membersince 10/2005 · owns less than 5%
- Lee Jessica Ott · Chief Compliance Officersince 03/2009 · owns less than 5%
Related persons
Schedule D 7.A
- Pya, P.Cinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 8 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- Atlanta, GA
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 2, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2025-11-03, no on the filing of 2026-03-02peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,367 to 1,528Nov 3, 2025 to Mar 2, 2026
- Advisory employees · 11 to 8Nov 3, 2025 to Mar 2, 2026
- Charity clients · 5 to 8Nov 3, 2025 to Mar 2, 2026
- Corporate clients · 4 to 3Nov 3, 2025 to Mar 2, 2026
- HNW clients · 220 to 192Nov 3, 2025 to Mar 2, 2026
- Individual clients · 196 to 206Nov 3, 2025 to Mar 2, 2026
- Pension plan clients · 16 to 15Nov 3, 2025 to Mar 2, 2026
- Employees · 16 to 17Nov 3, 2025 to Mar 2, 2026
- State-registered IARs · 11 to 8Nov 3, 2025 to Mar 2, 2026
- Other offices · 1 to 0Nov 3, 2025 to Mar 2, 2026
- Discretionary RAUM · $586M to $761MNov 3, 2025 to Mar 2, 2026
- HNW RAUM · $507M to $616MNov 3, 2025 to Mar 2, 2026
- Individual RAUM · $42.2M to $65.7MNov 3, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $233M to $245MNov 3, 2025 to Mar 2, 2026
- Pension RAUM · $133M to $133MNov 3, 2025 to Mar 2, 2026
- RAUM · $819M to $1.0BNov 3, 2025 to Mar 2, 2026
- Related insurance company · true to falseNov 3, 2025 to Mar 2, 2026
- Other offices · 2 to 1Mar 12, 2025 to Nov 3, 2025
- Accounts · 1,222 to 1,367Aug 13, 2024 to Mar 12, 2025
- Advisory employees · 9 to 11Aug 13, 2024 to Mar 12, 2025
- Charity clients · 3 to 5Aug 13, 2024 to Mar 12, 2025
- Corporate clients · 7 to 4Aug 13, 2024 to Mar 12, 2025
- HNW clients · 166 to 220Aug 13, 2024 to Mar 12, 2025
- Individual clients · 204 to 196Aug 13, 2024 to Mar 12, 2025
- Pension plan clients · 18 to 16Aug 13, 2024 to Mar 12, 2025
- Employees · 14 to 16Aug 13, 2024 to Mar 12, 2025
- Financial planning clients · 101-250 to 101-250Aug 13, 2024 to Mar 12, 2025
- State-registered IARs · 9 to 11Aug 13, 2024 to Mar 12, 2025
- Discretionary RAUM · $502M to $586MAug 13, 2024 to Mar 12, 2025
- HNW RAUM · $416M to $507MAug 13, 2024 to Mar 12, 2025
- Individual RAUM · $50.7M to $42.2MAug 13, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $528M to $233MAug 13, 2024 to Mar 12, 2025
- Pension RAUM · $379M to $133MAug 13, 2024 to Mar 12, 2025
- RAUM · $1.0B to $819MAug 13, 2024 to Mar 12, 2025
- Other offices · 1 to 2Mar 15, 2024 to Aug 13, 2024
- Accounts · 1,126 to 1,222Feb 16, 2023 to Mar 15, 2024
- Advisory employees · 6 to 9Feb 16, 2023 to Mar 15, 2024
- Charity clients · 2 to 3Feb 16, 2023 to Mar 15, 2024
- HNW clients · 161 to 166Feb 16, 2023 to Mar 15, 2024
- Individual clients · 191 to 204Feb 16, 2023 to Mar 15, 2024
Signals
5 dated events
- Trevor Wayne Gunter left Pya Waltman Capital, Llc for Four Pines Financial (registered 2025-11-17)Oct 31, 2025 · Advisor changed firm · fact
- Jacob R Hoheisel left Pya Waltman Capital, Llc for Robert W. Baird & Co. Incorporated (registered 2025-12-23)Aug 29, 2025 · Advisor changed firm · fact
- Mary Alexander Ballard left Pya Waltman Capital, Llc for Sagespring Wealth Partners (registered 2025-06-09)May 16, 2025 · Advisor changed firm · fact
- Payton N Vestrand left Pya Waltman Capital, Llc for Morgan Stanley (registered 2025-02-06)Jan 7, 2025 · Advisor changed firm · fact
- Roch Earl Monnig left Pya Waltman Capital, Llc for Origin Investment Advisory Llc (registered 2022-06-06)May 27, 2022 · Advisor changed firm · 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
- Business email
- info@pyawaltman.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 865-693-6301reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PYA-WALTMAN-CAPITAL-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- PYAWALTMAN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 865-693-6301reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- pyawaltman.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pyawaltman.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026