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•• P•••••••• L••
Latest filing Jan 28, 2026
First filing on the tape May 26, 2021 · 10 filings
SEC status approved since Jun 25, 2021
RAUM
$255M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$255M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$36.4M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$255M as of Jan 28, 2026
Mar 25, 2022$164M then
HNW client RAUM$137M as of Jan 28, 2026
Mar 25, 2022$103M then
State-registered IARs (5.B.3)8 as of Jan 28, 2026
Mar 25, 20228 then
Employees (5.A)12 as of Jan 28, 2026
Mar 25, 202212 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jan 28, 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
- $36.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $181,124derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M54%
- Individuals$118M46%
- Individual clients
- 341reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,406reported
- Financial planning clients
- 101-250reported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• K••• E•••••••• | Franklin, Tn | May 20, 2013 | 24 y | 2 |
| M•••••• C••••••••• O•••• | Franklin, Tn | Nov 22, 2016 | 20 y | 3 |
| S•••• T••••• M••• | Franklin, Tn | Nov 14, 2019 | 17 y | 0 |
| K•••• B•••• T•••••• | Franklin, Tn | Jan 13, 2020 | 30 y | 3 |
| Z•••••• C• O••••••Certified Financial Planner | Franklin, Tn | Jan 15, 2020 | 11 y | 1 |
| J•• D•••• M••••• | Franklin, Tn | Nov 26, 2024 | 12 y | 1 |
| T•••• S•• S•••••• | Franklin, Tn | Jan 2, 2026 | 24 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R••••• L• L•••• to C•••••••Mar 2, 2023 · Other
- J•••• G•••• H•••• to O••••••••• S••••••••• I•••Feb 11, 2010 · Other
Joined, latest
- T•••• S•• S•••••• from W•••• F•••• A•••••••Jan 2, 2026 · Wirehouse to independent RIA
- J•• D•••• M••••• from A••••••••• F•••••••• S•••••••• L••Nov 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- Z•••••• C• O•••••• from P••• A••••• S••••••••• L••Jan 15, 2020 · Affiliated broker-dealer or bank to independent RIA
- K•••• B•••• T•••••• from U•• F•••••••• S••••••• I•••Jan 13, 2020 · Wirehouse to independent RIA
- M•••••• C••••••••• O•••• from V•••••• C•••••• M••••••••• I•••Nov 22, 2016 · Other
- B•••••• K••• E•••••••• from C•••••• A••••••• P••••••• L••May 20, 2013 · Other
- J•••• G•••• H•••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jun 3, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• B••••••• K••• · Owner/Chief Compliance Officercontrolsince 01/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Franklin, Tn · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,281 to 1,406Dec 1, 2025 to Jan 28, 2026
- HNW clients · 59 to 58Dec 1, 2025 to Jan 28, 2026
- Individual clients · 306 to 341Dec 1, 2025 to Jan 28, 2026
- Employees · 13 to 12Dec 1, 2025 to Jan 28, 2026
- Discretionary RAUM · $220M to $255MDec 1, 2025 to Jan 28, 2026
- HNW RAUM · $124M to $137MDec 1, 2025 to Jan 28, 2026
- Individual RAUM · $96.3M to $118MDec 1, 2025 to Jan 28, 2026
- RAUM · $220M to $255MDec 1, 2025 to Jan 28, 2026
- Accounts · 1,242 to 1,281Jan 21, 2025 to Mar 30, 2025
- HNW clients · 61 to 59Jan 21, 2025 to Mar 30, 2025
- Individual clients · 281 to 306Jan 21, 2025 to Mar 30, 2025
- Financial planning clients · 101-250 to 101-250Jan 21, 2025 to Mar 30, 2025
- Discretionary RAUM · $179M to $220MJan 21, 2025 to Mar 30, 2025
- HNW RAUM · $112M to $124MJan 21, 2025 to Mar 30, 2025
- Individual RAUM · $67.1M to $96.3MJan 21, 2025 to Mar 30, 2025
- RAUM · $179M to $220MJan 21, 2025 to Mar 30, 2025
- Advisory employees · 7 to 8Nov 20, 2024 to Jan 21, 2025
- Advisory employees · 6 to 7Mar 21, 2024 to Nov 20, 2024
- Employees · 12 to 13Mar 21, 2024 to Nov 20, 2024
- State-registered IARs · 7 to 8Mar 21, 2024 to Nov 20, 2024
- Accounts · 1,122 to 1,242Mar 10, 2023 to Mar 21, 2024
- HNW clients · 127 to 61Mar 10, 2023 to Mar 21, 2024
- Individual clients · 395 to 281Mar 10, 2023 to Mar 21, 2024
- Discretionary RAUM · $150M to $179MMar 10, 2023 to Mar 21, 2024
- HNW RAUM · $102M to $112MMar 10, 2023 to Mar 21, 2024
- Individual RAUM · $47.9M to $67.1MMar 10, 2023 to Mar 21, 2024
- RAUM · $150M to $179MMar 10, 2023 to Mar 21, 2024
- Accounts · 1,056 to 1,122Mar 25, 2022 to Mar 10, 2023
- Advisory employees · 8 to 6Mar 25, 2022 to Mar 10, 2023
- HNW clients · 133 to 127Mar 25, 2022 to Mar 10, 2023
- Individual clients · 362 to 395Mar 25, 2022 to Mar 10, 2023
- State-registered IARs · 8 to 7Mar 25, 2022 to Mar 10, 2023
- Discretionary RAUM · $164M to $150MMar 25, 2022 to Mar 10, 2023
- HNW RAUM · $103M to $102MMar 25, 2022 to Mar 10, 2023
- Individual RAUM · $60.7M to $47.9MMar 25, 2022 to Mar 10, 2023
- RAUM · $164M to $150MMar 25, 2022 to Mar 10, 2023
- Accounts · 982 to 1,056May 26, 2021 to Mar 25, 2022
- Advisory employees · 9 to 8May 26, 2021 to Mar 25, 2022
- HNW clients · 121 to 133May 26, 2021 to Mar 25, 2022
- Individual clients · 315 to 362May 26, 2021 to Mar 25, 2022
Signals
2 dated events
- R••••• L• L•••• left C•• P•••••••• L•• for Captrust (registered 2023-04-05)Mar 2, 2023 · Advisor changed firm · fact
- C•• P•••••••• L•• filed its initial SEC registration (Form ADV)May 26, 2021 · 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
- 615-212-9384reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 615-240-7913reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 615-283-0275reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-807-2030reportedpublic record, Form ADV, Jan 28, 2026
- Team page
- CAP-PARTNERS.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
- $36.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026