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
I•••••••• C•••••• M•••••••••
Legal name I•••••••• C•••••• M••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Feb 27, 2012 · 24 filings
SEC status approved since Jan 4, 2010
RAUM
$181M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$45.1M
derived; firm RAUM over IAPD count
Employees
4
4 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$181M as of Mar 10, 2026
Feb 27, 2012$94.7M then
HNW client RAUM$113M as of Mar 10, 2026
Feb 1, 2018$115M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Feb 27, 20120 then
Employees (5.A)4 as of Mar 10, 2026
Jan 31, 20134 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 10, 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
- $45.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $374,565derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$113M63%
- Individuals$67.1M37%
- Individual clients
- 307reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 482reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• B•••• B•••••Certified Financial Planner | Kingsport, Tn | Jun 6, 2013 | 26 y | 3 |
| P••••• A•••••• R••••• | Kingsport, Tn | Jun 6, 2013 | 22 y | 3 |
| J••• C••••••••• A•••••Certified Financial Planner | Kingsport, Tn | Jun 6, 2013 | 22 y | 3 |
| A••••• H••• W••••••• | Kingsport, Tn | Dec 18, 2015 | 19 y | 1 |
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
- A••••• H••• W••••••• from L•• F•••••••• L••Dec 18, 2015 · Other
- J••••• B•••• B••••• from G••• W••••• A•••••••• I•••Jun 6, 2013 · Other
- P••••• A•••••• R••••• from G••• W••••• A•••••••• I•••Jun 6, 2013 · Other
- J••• C••••••••• A••••• from G••• W••••• A•••••••• I•••Jun 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• J•••• C••••••••• · Ownercontrolsince 01/2007 · owns 25% to 50%
- R•••••• P•••••• A•••••• · Owner, Chief Compliance Officer, Managing Membercontrolsince 01/2007 · owns 25% to 50%
- W•••••••• A•••••• H••• · Ownercontrolsince 06/2007 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kingsport, Tn · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 461 to 482Mar 19, 2025 to Mar 10, 2026
- HNW clients · 42 to 54Mar 19, 2025 to Mar 10, 2026
- Discretionary RAUM · $145M to $181MMar 19, 2025 to Mar 10, 2026
- HNW RAUM · $82.0M to $113MMar 19, 2025 to Mar 10, 2026
- Individual RAUM · $63.4M to $67.1MMar 19, 2025 to Mar 10, 2026
- RAUM · $145M to $181MMar 19, 2025 to Mar 10, 2026
- Accounts · 411 to 461Mar 15, 2024 to Mar 19, 2025
- HNW clients · 34 to 42Mar 15, 2024 to Mar 19, 2025
- Individual clients · 253 to 307Mar 15, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 15, 2024 to Mar 19, 2025
- Discretionary RAUM · $123M to $145MMar 15, 2024 to Mar 19, 2025
- HNW RAUM · $62.9M to $82.0MMar 15, 2024 to Mar 19, 2025
- Individual RAUM · $60.5M to $63.4MMar 15, 2024 to Mar 19, 2025
- RAUM · $123M to $145MMar 15, 2024 to Mar 19, 2025
- Accounts · 433 to 411Mar 29, 2023 to Mar 15, 2024
- HNW clients · 31 to 34Mar 29, 2023 to Mar 15, 2024
- Individual clients · 258 to 253Mar 29, 2023 to Mar 15, 2024
- Discretionary RAUM · $107M to $123MMar 29, 2023 to Mar 15, 2024
- HNW RAUM · $51.4M to $62.9MMar 29, 2023 to Mar 15, 2024
- Individual RAUM · $55.3M to $60.5MMar 29, 2023 to Mar 15, 2024
- RAUM · $107M to $123MMar 29, 2023 to Mar 15, 2024
- Accounts · 401 to 433Sep 29, 2022 to Mar 29, 2023
- Corporate clients · 1 to 0Sep 29, 2022 to Mar 29, 2023
- HNW clients · 33 to 31Sep 29, 2022 to Mar 29, 2023
- Individual clients · 250 to 258Sep 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $129M to $107MSep 29, 2022 to Mar 29, 2023
- HNW RAUM · $67.6M to $51.4MSep 29, 2022 to Mar 29, 2023
- Individual RAUM · $61.1M to $55.3MSep 29, 2022 to Mar 29, 2023
- RAUM · $129M to $107MSep 29, 2022 to Mar 29, 2023
- Accounts · 416 to 401Mar 11, 2021 to Mar 31, 2022
- HNW clients · 30 to 33Mar 11, 2021 to Mar 31, 2022
- Individual clients · 245 to 250Mar 11, 2021 to Mar 31, 2022
- Discretionary RAUM · $112M to $129MMar 11, 2021 to Mar 31, 2022
- HNW RAUM · $57.0M to $67.6MMar 11, 2021 to Mar 31, 2022
- Individual RAUM · $55.1M to $61.1MMar 11, 2021 to Mar 31, 2022
- RAUM · $112M to $129MMar 11, 2021 to Mar 31, 2022
- Accounts · 412 to 416Jun 24, 2020 to Mar 11, 2021
- HNW clients · 28 to 30Jun 24, 2020 to Mar 11, 2021
- Individual clients · 244 to 245Jun 24, 2020 to Mar 11, 2021
- Discretionary RAUM · $99.6M to $112MJun 24, 2020 to Mar 11, 2021
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 email
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 423-230-4500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 423-230-4500reportedpublic record, Form ADV, Mar 10, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $45.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026