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

Marmo Financial Group, LLC

Former SEC-registered adviserJohnson City, TennesseeCRD 143816SEC 801-113718website IAPD

Latest filing Mar 27, 2026

First filing on the tape Jun 28, 2018 · 19 filings

SEC status approved since Jul 30, 2018

RAUM

$295M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

92%

$272M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$295M as of Mar 27, 2026

Mar 22, 2019$127M then

HNW client RAUM$199M as of Mar 27, 2026

Mar 22, 2019$26.6M then

State-registered IARs (5.B.3)3 as of Mar 27, 2026

Mar 22, 20192 then

Employees (5.A)9 as of Mar 27, 2026

Mar 22, 20193 then

Private funds: no history

RAUM +19% over the last fiscal year+14% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

RAUM per advisor: $98.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 306derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $885,811derivedHNW RAUM over HNW clients
Average account: $181,313derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 8.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -8.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 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$199M68%
Individuals$72.3M24%
Pension and profit-sharing plans$23.6M8.0%

Individual clients: 692reported
HNW clients: 225reported
Pension plan clients: 10reported
Charitable clients: n/areported
Accounts: 1,628reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
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

2 left, 0 joined in 12 months

net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months

Left, latest

Sasha Stewart to Cetera Planning Partners
May 1, 2026 · RIA to RIA
Scott Anthony Marmo to Cetera Planning Partners
May 1, 2026 · RIA to RIA
Nickles Gregory Spryn to Coppell Advisory Solutions LLC
Nov 19, 2024 · RIA to RIA
Alexander David Swatzell to UBS Financial Services Inc.
Apr 5, 2023 · RIA to wirehouse

Joined, latest

Nickles Gregory Spryn from Vanguard Advisers, Inc.
Sep 19, 2023 · Affiliated broker-dealer or bank to independent RIA
Sasha Stewart from Worthwhile Wealth Council
Jan 19, 2023 · Other
Scott Anthony Marmo from Triad Advisors, LLC
Jun 28, 2007 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Cetera Planning Partners
May 1, 2026 · Johnson City, Tn

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Anthony Scott Marmo · Managing Member / President / Coocontrol
since 04/2007 · owns 75% or more
Sasha Stewart · Chief Compliance Officercontrol
since 01/2023 · owns less than 5%

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
Gastonia, Nc	0	0	0
Johnson City, Tn · principal	0	0	2	1

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 1,710 to 1,628
Nov 10, 2025 to Mar 27, 2026
HNW clients · 128 to 225
Nov 10, 2025 to Mar 27, 2026
Individual clients · 878 to 692
Nov 10, 2025 to Mar 27, 2026
Pension plan clients · unset to 10.0
Nov 10, 2025 to Mar 27, 2026
Assets in custody · unset to 271574234.0
Nov 10, 2025 to Mar 27, 2026
Employees · 10 to 9
Nov 10, 2025 to Mar 27, 2026
Discretionary RAUM · $249M to $295M
Nov 10, 2025 to Mar 27, 2026
HNW RAUM · $157M to $199M
Nov 10, 2025 to Mar 27, 2026
Individual RAUM · $92.0M to $72.3M
Nov 10, 2025 to Mar 27, 2026
Non-discretionary RAUM · $34,587 to $39,209
Nov 10, 2025 to Mar 27, 2026
Pension RAUM · unset to 23564597.0
Nov 10, 2025 to Mar 27, 2026
RAUM · $249M to $295M
Nov 10, 2025 to Mar 27, 2026
Financial planning clients · 11-25 to 11-25
Mar 21, 2025 to Jun 3, 2025
Accounts · 1,625 to 1,710
Nov 19, 2024 to Mar 21, 2025
Advisory employees · 4 to 3
Nov 19, 2024 to Mar 21, 2025
HNW clients · 120 to 128
Nov 19, 2024 to Mar 21, 2025
Individual clients · 836 to 878
Nov 19, 2024 to Mar 21, 2025
State-registered IARs · 4 to 3
Nov 19, 2024 to Mar 21, 2025
Discretionary RAUM · $226M to $249M
Nov 19, 2024 to Mar 21, 2025
HNW RAUM · $143M to $157M
Nov 19, 2024 to Mar 21, 2025
Individual RAUM · $82.6M to $92.0M
Nov 19, 2024 to Mar 21, 2025
Non-discretionary RAUM · $29,406 to $34,587
Nov 19, 2024 to Mar 21, 2025
RAUM · $226M to $249M
Nov 19, 2024 to Mar 21, 2025
Other offices · 2 to 1
Oct 22, 2024 to Nov 19, 2024
Other offices · 1 to 2
Mar 18, 2024 to Oct 22, 2024
Accounts · 1,654 to 1,625
Sep 13, 2023 to Mar 18, 2024
Advisory employees · 2 to 4
Sep 13, 2023 to Mar 18, 2024
HNW clients · 88 to 120
Sep 13, 2023 to Mar 18, 2024
Individual clients · 899 to 836
Sep 13, 2023 to Mar 18, 2024
Employees · 9 to 10
Sep 13, 2023 to Mar 18, 2024
State-registered IARs · 2 to 4
Sep 13, 2023 to Mar 18, 2024
Discretionary RAUM · $199M to $226M
Sep 13, 2023 to Mar 18, 2024
HNW RAUM · $108M to $143M
Sep 13, 2023 to Mar 18, 2024
Individual RAUM · $90.6M to $82.6M
Sep 13, 2023 to Mar 18, 2024
Non-discretionary RAUM · $0 to $29,406
Sep 13, 2023 to Mar 18, 2024
RAUM · $199M to $226M
Sep 13, 2023 to Mar 18, 2024
Other offices · 0 to 1
Mar 30, 2023 to Jul 28, 2023
Accounts · 1,546 to 1,654
Mar 24, 2022 to Mar 30, 2023
HNW clients · 115 to 88
Mar 24, 2022 to Mar 30, 2023
Individual clients · 832 to 899
Mar 24, 2022 to Mar 30, 2023

Signals

9 dated events

Marmo Financial Group, Llc no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $295.2M)
Jun 1, 2026 · Left the SEC roster · derived
Sasha Stewart left Marmo Financial Group, Llc for Cetera Planning Partners (registered 2026-05-04)
May 1, 2026 · Advisor changed firm · fact
Scott Anthony Marmo left Marmo Financial Group, Llc for Cetera Planning Partners (registered 2026-05-04)
May 1, 2026 · Advisor changed firm · fact
2 advisors left Marmo Financial Group, LLC (Johnson City, TN) for Cetera Planning Partners on the same day
May 1, 2026 · Team lift-out · derived
Nickles Gregory Spryn left Marmo Financial Group, Llc for Coppell Advisory Solutions Llc (registered 2026-01-13)
Nov 19, 2024 · Advisor changed firm · fact
Alexander David Swatzell left Marmo Financial Group, Llc for Ubs Financial Services Inc. (registered 2023-10-31)
Apr 5, 2023 · Advisor changed firm · fact
Sasha Stewart (Chief Compliance Officer) appeared on Schedule A of Marmo Financial Group, Llc
Mar 30, 2023 · Control person joined · fact
David Alexander Swatzell (Chief Compliance Officer) no longer on Schedule A of Marmo Financial Group, Llc (listed 2022-03-24, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
Marmo Financial Group, Llc filed its initial SEC registration (Form ADV)
Jun 28, 2018 · First SEC registration · fact

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