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•••••• S•••••••• W••••• L••
Latest filing Aug 6, 2026
First filing on the tape May 3, 2018 · 18 filings
SEC status approved since Jun 1, 2018
RAUM
$401M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$400M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$80.2M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$401M as of Aug 6, 2026
Mar 4, 2019$128M then
HNW client RAUM$350M as of Aug 6, 2026
Mar 4, 2019$96.9M then
State-registered IARs (5.B.3)7 as of Aug 6, 2026
Mar 4, 20192 then
Employees (5.A)7 as of Aug 6, 2026
Mar 4, 20192 then
Private funds: no history
RAUM +56% over the last fiscal year+31% a year over threeIARs 2 to 7offices 0 to 1
Practice profile
derived from the filing of Aug 6, 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
- $80.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $555,350derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween the last two annual amendments
- Advisor growth, one year
- +250%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- 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$350M87%
- Individuals$50.1M12%
- Charitable organizations$1.3M0.3%
- Individual clients
- 125reported
- HNW clients
- 137reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 722reported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••••• Q••••• T•••••Personal Financial Specialist | Knoxville, Tn | Jan 4, 2011 | 38 y | 0 |
| J•••• A••••• C••••Certified Financial Planner | Knoxville, Tn | Aug 19, 2015 | 12 y | 0 |
| M••••••• P•••••• J•••••• | Knoxville, Tn | Apr 30, 2025 | 13 y | 0 |
| S•••••• P•••••••• H•••Personal Financial Specialist | Brentwood, Tn | Aug 1, 2025 | 24 y | 1 |
| D•••• H••• | Brentwood, Tn | Aug 12, 2025 | 22 y | 4 |
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
- M•••••• B••••••• R••••••• to M••••••Mar 1, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• H••• from K•••• A•••• M••••••••• L••Aug 12, 2025 · RIA to RIA
- S•••••• P•••••••• H••• from K•••• A•••• M••••••••• L••Aug 1, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K•••• A•••• M••••••••• L••Aug 1, 2025 · Nashville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• P•••••••• C•••• · Managing Member / Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
- C••••• J••••• A••••• · Membersince 08/2015 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 5 | 0 | 0 | ||
| Brentwood, Tn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $256,902,086 to $400,962,959 (+56.0%) between the annual amendments of 2025-03-07 and 2026-03-13; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 527 to 722Oct 27, 2025 to Mar 13, 2026
- Advisory employees · 2 to 7Oct 27, 2025 to Mar 13, 2026
- Charity clients · 0 to 1Oct 27, 2025 to Mar 13, 2026
- HNW clients · 98 to 137Oct 27, 2025 to Mar 13, 2026
- Individual clients · 96 to 125Oct 27, 2025 to Mar 13, 2026
- Employees · 3 to 7Oct 27, 2025 to Mar 13, 2026
- State-registered IARs · 2 to 7Oct 27, 2025 to Mar 13, 2026
- Other offices · 4 to 1Oct 27, 2025 to Mar 13, 2026
- Discretionary RAUM · $255M to $400MOct 27, 2025 to Mar 13, 2026
- HNW RAUM · $220M to $350MOct 27, 2025 to Mar 13, 2026
- Individual RAUM · $36.4M to $50.1MOct 27, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $2.0M to $1.3MOct 27, 2025 to Mar 13, 2026
- RAUM · $257M to $401MOct 27, 2025 to Mar 13, 2026
- Other offices · 1 to 4Aug 1, 2025 to Oct 27, 2025
- Other offices · 0 to 1Mar 7, 2025 to Aug 1, 2025
- Accounts · 500 to 527Apr 23, 2024 to Mar 7, 2025
- Advisory employees · 3 to 2Apr 23, 2024 to Mar 7, 2025
- HNW clients · 95 to 98Apr 23, 2024 to Mar 7, 2025
- Individual clients · 91 to 96Apr 23, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 101-250Apr 23, 2024 to Mar 7, 2025
- State-registered IARs · 3 to 2Apr 23, 2024 to Mar 7, 2025
- Discretionary RAUM · $222M to $255MApr 23, 2024 to Mar 7, 2025
- HNW RAUM · $191M to $220MApr 23, 2024 to Mar 7, 2025
- Individual RAUM · $32.9M to $36.4MApr 23, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $2.0M to $2.0MApr 23, 2024 to Mar 7, 2025
- RAUM · $224M to $257MApr 23, 2024 to Mar 7, 2025
- Related insurance company · true to falseMar 29, 2024 to Apr 23, 2024
- Accounts · 461 to 500Mar 21, 2023 to Mar 29, 2024
- Charity clients · unset to 0.0Mar 21, 2023 to Mar 29, 2024
- Corporate clients · unset to 0.0Mar 21, 2023 to Mar 29, 2024
- HNW clients · 83 to 95Mar 21, 2023 to Mar 29, 2024
- Individual clients · 87 to 91Mar 21, 2023 to Mar 29, 2024
- Pension plan clients · unset to 0.0Mar 21, 2023 to Mar 29, 2024
- Pooled vehicle clients · unset to 0.0Mar 21, 2023 to Mar 29, 2024
- Assets in custody · 66651469.0 to unsetMar 21, 2023 to Mar 29, 2024
- Custody of client assets · true to falseMar 21, 2023 to Mar 29, 2024
- Discretionary RAUM · $177M to $222MMar 21, 2023 to Mar 29, 2024
- HNW RAUM · $146M to $191MMar 21, 2023 to Mar 29, 2024
- Individual RAUM · $33.6M to $32.9MMar 21, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $2.0M to $2.0MMar 21, 2023 to Mar 29, 2024
Signals
4 dated events
- I•••••• S•••••••• W••••• L•• reported RAUM $401.0M, up 56% from $256.9M (2025-10-27 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- 2 advisors left K•••• A•••• M••••••••• L•• (Nashville, TN) for I•••••• S•••••••• W••••• L•• on the same dayAug 1, 2025 · Team lift-out · derived
- M•••••• B••••••• R••••••• left I•••••• S•••••••• W••••• L•• for Mariner (registered 2024-04-03)Mar 1, 2024 · Advisor changed firm · fact
- C•• F••••••••• L•• filed its initial SEC registration (Form ADV)May 3, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 866-617-0073reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-467-9756reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/InsightStrategicWealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CTMFin.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-467-9756reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- insightstrategicwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- insightstrategicwealth.com/team-member-01reportedpublished 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
- $80.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026