DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••••••• W••••• M••••••••• L•••••
Latest filing Jan 23, 2026
First filing on the tape Feb 29, 2012 · 4 filings
SEC status approved since Mar 20, 2025
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$112M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$114M as of Jan 23, 2026
Feb 29, 2012$41.5M then
HNW client RAUM$91.7M as of Jan 23, 2026
Feb 19, 2025$86.2M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Feb 29, 20120 then
Employees (5.A)2 as of Jan 23, 2026
Feb 19, 20252 then
Private funds: no history
RAUM +8.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $550,050derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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
- -4.0%derived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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$91.7M81%
- Individuals$20.8M18%
- Pension and profit-sharing plans$1.4M1.2%
- Individual clients
- 68reported
- HNW clients
- 27reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 207reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• F•••••• | Hendersonville, Tn | Jan 1, 2025 | 24 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• M•••••• F•••••• from C••••••• S•••••••• G••••Jan 1, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• J•••••• S••••• · President/Chief Compliance Officercontrolsince 04/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 205 to 207Feb 19, 2025 to Jan 23, 2026
- HNW clients · 30 to 27Feb 19, 2025 to Jan 23, 2026
- Individual clients · 69 to 68Feb 19, 2025 to Jan 23, 2026
- Discretionary RAUM · $105M to $114MFeb 19, 2025 to Jan 23, 2026
- HNW RAUM · $86.2M to $91.7MFeb 19, 2025 to Jan 23, 2026
- Individual RAUM · $17.2M to $20.8MFeb 19, 2025 to Jan 23, 2026
- Pension RAUM · $1.2M to $1.4MFeb 19, 2025 to Jan 23, 2026
- RAUM · $105M to $114MFeb 19, 2025 to Jan 23, 2026
- Individual RAUM · unset to 17178138.0Mar 29, 2012 to Feb 19, 2025
- Accounts · 47 to 205Mar 29, 2012 to Feb 19, 2025
- Advisory employees · unset to 1.0Mar 29, 2012 to Feb 19, 2025
- Advisory activities · 2 to 4Mar 29, 2012 to Feb 19, 2025
- HNW clients · unset to 30.0Mar 29, 2012 to Feb 19, 2025
- Individual clients · unset to 69.0Mar 29, 2012 to Feb 19, 2025
- Pension plan clients · unset to 1.0Mar 29, 2012 to Feb 19, 2025
- Employees · unset to 2.0Mar 29, 2012 to Feb 19, 2025
- Financial planning clients · 11-25 to 26-50Mar 29, 2012 to Feb 19, 2025
- HQ city · BRENTWOOD to HENDERSONVILLEMar 29, 2012 to Feb 19, 2025
- State-registered IARs · 0 to 1Mar 29, 2012 to Feb 19, 2025
- Other offices · unset to 1.0Mar 29, 2012 to Feb 19, 2025
- Discretionary RAUM · $35.8M to $105MMar 29, 2012 to Feb 19, 2025
- HNW RAUM · unset to 86212369.0Mar 29, 2012 to Feb 19, 2025
- Non-discretionary RAUM · $5.8M to $0Mar 29, 2012 to Feb 19, 2025
- Pension RAUM · unset to 1200787.0Mar 29, 2012 to Feb 19, 2025
- RAUM · $41.5M to $105MMar 29, 2012 to Feb 19, 2025
Signals
No event on the tape.
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
- 615-296-4316reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 615-369-0738reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 615-948-4242reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 615-369-0738reportedpublic record, Form ADV, Jan 23, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026