DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•••••• W••• F•••••••• S•••••••
Legal name R•••••• W••• F•••••••• S••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Nov 9, 2011 · 20 filings
SEC status approved since Apr 23, 2020
RAUM
$243M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$242M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$243M as of Mar 5, 2026
Apr 3, 2012$41.5M then
HNW client RAUM$216M as of Mar 5, 2026
Mar 16, 2021$87.0M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 16, 20211 then
Employees (5.A)2 as of Mar 5, 2026
Mar 16, 20212 then
Private funds: no history
RAUM +34% over the last fiscal year+21% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $76.3M, 43 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)
- 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$216M89%
- Individuals$26.5M11%
- Charitable organizations$491,4640.2%
- Individual clients
- 82reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 142reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.3M for 43 clientsreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• R•••••• W••• | Nashville, Tn | Jan 9, 2025 | 34 y | 2 |
| C•••••• R••••• W••• | Nashville, Tn | Jun 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 headcount0 left over 36 months
Left, latest
- W•••••• F•••• to E••••• J••••May 1, 2014 · Other
Joined, latest
- C•••••• R•••••• W••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 9, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• C••••••• R•••••• · Managing Membercontrolsince 08/2007 · owns 75% or more
- W•••• A•••••• B••••• · Chief Compliance Officersince 08/2007 · 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 |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 5, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-19, yes on the filing of 2026-03-05peers: independent wealth managers, $100M to $500M (5,678)
- discretionary share shiftChange between filings · filing Mar 5, 2026discretionary share of RAUM moved from 60.0% to 82.0% between the annual amendments of 2025-03-07 and 2026-03-05peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- HNW clients · 52 to 59Nov 19, 2025 to Mar 5, 2026
- Individual clients · 89 to 82Nov 19, 2025 to Mar 5, 2026
- Assets in custody · unset to 76311607.0Nov 19, 2025 to Mar 5, 2026
- Custody of client assets · false to trueNov 19, 2025 to Mar 5, 2026
- Employees · 3 to 2Nov 19, 2025 to Mar 5, 2026
- Discretionary RAUM · $109M to $198MNov 19, 2025 to Mar 5, 2026
- HNW RAUM · $152M to $216MNov 19, 2025 to Mar 5, 2026
- Individual RAUM · $27.7M to $26.5MNov 19, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $71.4M to $44.5MNov 19, 2025 to Mar 5, 2026
- RAUM · $180M to $243MNov 19, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 0Jul 17, 2025 to Nov 19, 2025
- Advisory employees · 1 to 2Mar 7, 2025 to Jul 17, 2025
- Employees · 2 to 3Mar 7, 2025 to Jul 17, 2025
- State-registered IARs · 1 to 2Mar 7, 2025 to Jul 17, 2025
- Accounts · 144 to 142Dec 12, 2024 to Mar 7, 2025
- HNW clients · 47 to 52Dec 12, 2024 to Mar 7, 2025
- Individual clients · 96 to 89Dec 12, 2024 to Mar 7, 2025
- Discretionary RAUM · $98.7M to $109MDec 12, 2024 to Mar 7, 2025
- HNW RAUM · $133M to $152MDec 12, 2024 to Mar 7, 2025
- Individual RAUM · $21.4M to $27.7MDec 12, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $55.8M to $71.4MDec 12, 2024 to Mar 7, 2025
- RAUM · $155M to $180MDec 12, 2024 to Mar 7, 2025
- Accounts · 121 to 144Mar 7, 2023 to Mar 11, 2024
- HNW clients · 33 to 47Mar 7, 2023 to Mar 11, 2024
- Individual clients · 87 to 96Mar 7, 2023 to Mar 11, 2024
- Discretionary RAUM · $89.3M to $98.7MMar 7, 2023 to Mar 11, 2024
- HNW RAUM · $107M to $133MMar 7, 2023 to Mar 11, 2024
- Individual RAUM · $28.6M to $21.4MMar 7, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $46.1M to $55.8MMar 7, 2023 to Mar 11, 2024
- RAUM · $135M to $155MMar 7, 2023 to Mar 11, 2024
- Accounts · 145 to 121Mar 31, 2022 to Mar 7, 2023
- Charity clients · 0 to 1Mar 31, 2022 to Mar 7, 2023
- HNW clients · 31 to 33Mar 31, 2022 to Mar 7, 2023
- Individual clients · 114 to 87Mar 31, 2022 to Mar 7, 2023
- Financial planning clients · 51-100 to 0Mar 31, 2022 to Mar 7, 2023
- Discretionary RAUM · $98.2M to $89.3MMar 31, 2022 to Mar 7, 2023
- HNW RAUM · $115M to $107MMar 31, 2022 to Mar 7, 2023
- Individual RAUM · $32.4M to $28.6MMar 31, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $49.5M to $46.1MMar 31, 2022 to Mar 7, 2023
- RAUM · $148M to $135MMar 31, 2022 to Mar 7, 2023
Signals
1 dated events
- R•••••• W••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)Mar 17, 2020 · 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 email
- c••••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 615-386-6933reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/rayburn-west-financireportedpublic record, Form ADV, Sep 21, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 615-386-6932reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026