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
C••••••• A•••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Mar 29, 2012 · 42 filings
SEC status approved since Nov 18, 2015
RAUM
$351M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$341M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$70.3M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$351M as of Apr 7, 2026
Mar 29, 2012$41.0M then
HNW client RAUM$244M as of Apr 7, 2026
Mar 29, 2018$126M then
State-registered IARs (5.B.3)5 as of Apr 7, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Apr 7, 2026
Feb 26, 20166 then
Private funds: no history
RAUM +3.6% over the last fiscal year+8.0% a year over threeIARs 5 to 5offices 3 to 1
Practice profile
derived from the filing of Apr 7, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $70.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $976,005derivedHNW RAUM over HNW clients
- Average account
- $345,871derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $345MreportedItem 5.I
- Custody
- $125M, 328 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M71%
- Individuals$97.4M28%
- Corporations and businesses$3.0M0.9%
- Charitable organizations$307,8670.1%
- Pension and profit-sharing plans$155,1050.0%
- Individual clients
- 249reported
- HNW clients
- 250reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,016reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $80.3M sponsored, $6.2M managedreported
- Custody of client assets
- $125M for 328 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• R•• C••••••• | Brentwood, Tn | Dec 3, 2010 | 34 y | 3 |
| B•••••• O•••• D•••• | Murfreeesboro, Tn | Jun 15, 2015 | 22 y | 2 |
| B•••••• Y••••• L••••• | Brentwood, Tn | Sep 20, 2018 | 15 y | 0 |
| A•••• A••• Z••••• | Brentwood, Tn | May 28, 2021 | 21 y | 3 |
| C•••• T• C••••••• | Brentwood, Tn | May 9, 2025 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- R••• K•••••• S••••• to L•• F•••••••• L••Jun 10, 2025 · RIA to affiliated broker-dealer or bank
- D•••• S•••• S•••••••• to L•• F•••••••• L••Oct 4, 2021 · RIA to affiliated broker-dealer or bank
- J•••• R••• H•••• to R•••••• J•••• • A••••••••• I•••Jan 3, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••• A••• Z••••• from F••••••• P••••••• A•• W•••••••• A•••••••May 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- D•••• S•••• S•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 31, 2020 · Other
- J•••• R••• H•••• from M••••• S••••••Sep 13, 2016 · Other
- R••• K•••••• S••••• from F•••• T•••• S••••••••• I•••Jun 22, 2016 · Other
- B•••••• O•••• D•••• from B••• W••••• A•••••••• I•••Jun 15, 2015 · Other
- B•••• R•• C••••••• from C•••••••• E••••• A••••••• I••Dec 3, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• B••••• R•• · Membercontrolsince 06/2007 · owns 75% or more
- S••••• N••••••• L•• · Chief Compliance Officercontrolsince 09/2022 · 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 |
|---|---|---|---|---|---|
| Brentwood, Tn · principal | 4 | 0 | 0 | ||
| Murfreesboro, Tn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Murfreesboro, TN1 employees
- Murfreesboro, TN1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 7, 2026accounts (Item 5.F.2.f) moved from 493.0 to 1,016.0 (+106.0%) between the annual amendments of 2025-03-18 and 2026-04-07; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
- office count dropChange between filings · filing Apr 7, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-18 and 2026-04-07; the peer median change was 0.0% (450 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 1.6% percentile
What changed
consecutive filings, newest first
- Accounts · 493 to 1,016Jul 30, 2025 to Mar 29, 2026
- HNW clients · 111 to 250Jul 30, 2025 to Mar 29, 2026
- Individual clients · 371 to 249Jul 30, 2025 to Mar 29, 2026
- Pension plan clients · 9.0 to unsetJul 30, 2025 to Mar 29, 2026
- Assets in custody · $104M to $125MJul 30, 2025 to Mar 29, 2026
- Discretionary RAUM · $332M to $344MJul 30, 2025 to Mar 29, 2026
- HNW RAUM · $233M to $244MJul 30, 2025 to Mar 29, 2026
- Individual RAUM · $97.3M to $97.4MJul 30, 2025 to Mar 29, 2026
- Non-discretionary RAUM · $7.2M to $7.2MJul 30, 2025 to Mar 29, 2026
- Pension RAUM · $6.1M to $155,105Jul 30, 2025 to Mar 29, 2026
- RAUM · $339M to $351MJul 30, 2025 to Mar 29, 2026
- Wrap assets (manager) · $5.9M to $6.2MJul 30, 2025 to Mar 29, 2026
- Wrap assets (sponsor) · $67.2M to $80.3MJul 30, 2025 to Mar 29, 2026
- Assets in custody · unset to 104442998.0Mar 18, 2025 to Jul 30, 2025
- Custody of client assets · false to trueMar 18, 2025 to Jul 30, 2025
- Financial planning clients · 0 to 0Mar 18, 2025 to Jul 30, 2025
- Other offices · 3 to 1Mar 18, 2025 to Jul 30, 2025
- Accounts · 1,032 to 493Mar 15, 2024 to Mar 18, 2025
- Advisory employees · 6 to 5Mar 15, 2024 to Mar 18, 2025
- BD registered reps · 7 to 6Mar 15, 2024 to Mar 18, 2025
- HNW clients · 155 to 111Mar 15, 2024 to Mar 18, 2025
- Individual clients · 542 to 371Mar 15, 2024 to Mar 18, 2025
- Pension plan clients · 7 to 9Mar 15, 2024 to Mar 18, 2025
- State-registered IARs · 6 to 5Mar 15, 2024 to Mar 18, 2025
- Discretionary RAUM · $316M to $332MMar 15, 2024 to Mar 18, 2025
- HNW RAUM · $197M to $233MMar 15, 2024 to Mar 18, 2025
- Individual RAUM · $113M to $97.3MMar 15, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $6.8M to $7.2MMar 15, 2024 to Mar 18, 2025
- Pension RAUM · $9.5M to $6.1MMar 15, 2024 to Mar 18, 2025
- RAUM · $323M to $339MMar 15, 2024 to Mar 18, 2025
- Wrap assets (manager) · $9.5M to $5.9MMar 15, 2024 to Mar 18, 2025
- Wrap assets (sponsor) · $59.2M to $67.2MMar 15, 2024 to Mar 18, 2025
- Accounts · 991 to 1,032Mar 30, 2023 to Mar 15, 2024
- Charity clients · 2.0 to unsetMar 30, 2023 to Mar 15, 2024
- Corporate clients · 2.0 to unsetMar 30, 2023 to Mar 15, 2024
- HNW clients · 133 to 155Mar 30, 2023 to Mar 15, 2024
- Individual clients · 581 to 542Mar 30, 2023 to Mar 15, 2024
- Employees · 9 to 8Mar 30, 2023 to Mar 15, 2024
- Financial planning clients · 1-10 to 0Mar 30, 2023 to Mar 15, 2024
- Discretionary RAUM · $274M to $316MMar 30, 2023 to Mar 15, 2024
Signals
3 dated events
- R••• K•••••• S••••• left C••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2024-09-03)Jun 10, 2025 · Advisor changed firm · fact
- C••••••• A•••••••• L•• reported RAUM $276.2M, up 59% from $173.4M (2020-10-14 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- C••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 28, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 615-410-3664reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- Linkedin.com/company/27111136reportedpublic record, Form ADV, Sep 18, 2026
- Website
- B••••••OD••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-370-8988reportedpublic record, Form ADV, Apr 7, 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
- $70.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026