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
B••••••••• I••••••••• G••••• L••
Latest filing Feb 10, 2026
First filing on the tape Dec 15, 2011 · 37 filings
SEC status approved since Aug 21, 2008
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$154M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$25.9M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$155M as of Feb 10, 2026
Mar 29, 2012$90.3M then
HNW client RAUM$98.9M as of Feb 10, 2026
Apr 30, 2018$20.4M then
State-registered IARs (5.B.3)6 as of Feb 10, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Feb 10, 2026
Mar 21, 20135 then
Private funds: no history
RAUM +13% over the last fiscal year+9.3% a year over threeIARs 6 to 6offices 4 to 5
Practice profile
derived from the filing of Feb 10, 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
- RAUM per advisor
- $25.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $231,494derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $968,015, 2 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)
- 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$98.9M64%
- Individuals$54.6M35%
- Corporations and businesses$928,0580.6%
- Charitable organizations$602,1320.4%
- Individual clients
- 271reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 670reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $968,015 for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• L•• W••• | Hixson, Tn | Nov 19, 2008 | 26 y | 1 |
| J••• A•••• L•••••• | Hixson, Tn | Nov 19, 2008 | 33 y | 2 |
| L•••• R••••• R••Certified Financial Planner | Hixson, Tn | Sep 1, 2016 | 27 y | 1 |
| A•••••••• J••••••••• | Hixson, Tn | Jul 27, 2023 | 13 y | 1 |
| C•••••• K•••••• T••• | Dalton, Ga | Oct 4, 2023 | 14 y | 0 |
| M••••• D••• S•••••• | Hixson, Tn | Jan 1, 2025 | 34 y | 1 |
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
- N••••• S••••• M••••• to C•••••• S•••••• L••Jan 3, 2017 · Other
- J•••••• G•• S•••••• to C•••••• S•••••• L••Jan 3, 2017 · Other
- S•••• W••••• E•••• to C•••••• S•••••• L••Jan 3, 2017 · Other
- M••• P••••• M••••• to C•••••• S•••••• L••Jan 3, 2017 · Other
- S••••• D•••••• S•••••• to C•••••• S•••••• L••Jan 3, 2017 · Other
- S•••••• J•••••• B•••••• to C•••••• S•••••• L••Jan 3, 2017 · Other
- C•••••• M••• F••••• to V•••• F•••••••• A•••••••• I•••Jan 31, 2013 · Other
Joined, latest
- M••••• D••• S•••••• from R•••••• J•••• F•••••••• S•••••••• I•••Jan 1, 2025 · Other
- A•••••••• J••••••••• from N•••••• W•••••Jul 27, 2023 · Other
- L•••• R••••• R•• from C••••••• • C••• I•••Sep 1, 2016 · Other
- S•••••• J•••••• B•••••• from G••••••• W••••• M••••••••• L••Sep 17, 2015 · Other
- S••••• D•••••• S•••••• from M••••• S••••••Aug 25, 2015 · Other
- M••• P••••• M••••• from U•• F•••••••• S••••••• I•••Sep 18, 2014 · Other
- S•••• W••••• E•••• from M••••• S••••••Jun 7, 2011 · Other
- N••••• S••••• M••••• from R•••••• J•••• F•••••••• S•••••••• I•••Nov 19, 2008 · Other
- J••• A•••• L•••••• from R•••••• J•••• F•••••••• S•••••••• I•••Nov 19, 2008 · Other
- C••••• L•• W••• from R•••••• J•••• F•••••••• S•••••••• I•••Nov 19, 2008 · Other
- C•••••• M••• F••••• from R•••••• J•••• F•••••••• S•••••••• I•••Nov 19, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for C•••••• S•••••• L••Jan 3, 2017 · Hixson, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• J•••• A•••• · Member Chief Compliance Officercontrolsince 08/2008 · owns 25% to 50%
- R••• L••••• R••••• · Membercontrolsince 01/2017 · owns 25% to 50%
- S••••••• M•••••• D••• · Managing Membercontrolsince 08/2008 · owns 25% to 50%
- W•••• C•••••• L•• · Membercontrolsince 08/2008 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Hixson, Tn · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chattanooga, TN1 employees
- Dalton, GA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 10, 2026accounts (Item 5.F.2.f) moved from 304.0 to 670.0 (+120.0%) between the annual amendments of 2025-02-13 and 2026-02-10; 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
What changed
consecutive filings, newest first
- Accounts · 304 to 670Feb 13, 2025 to Feb 10, 2026
- HNW clients · 31 to 42Feb 13, 2025 to Feb 10, 2026
- Individual clients · 270 to 271Feb 13, 2025 to Feb 10, 2026
- Assets in custody · $803,785 to $968,015Feb 13, 2025 to Feb 10, 2026
- Financial planning clients · 1-10 to 11-25Feb 13, 2025 to Feb 10, 2026
- Other offices · 4 to 5Feb 13, 2025 to Feb 10, 2026
- Discretionary RAUM · $137M to $155MFeb 13, 2025 to Feb 10, 2026
- HNW RAUM · $78.3M to $98.9MFeb 13, 2025 to Feb 10, 2026
- Individual RAUM · $57.6M to $54.6MFeb 13, 2025 to Feb 10, 2026
- RAUM · $137M to $155MFeb 13, 2025 to Feb 10, 2026
- Accounts · 315 to 304Feb 24, 2024 to Feb 13, 2025
- Corporate clients · 8.0 to unsetFeb 24, 2024 to Feb 13, 2025
- HNW clients · 32 to 31Feb 24, 2024 to Feb 13, 2025
- Individual clients · 274 to 270Feb 24, 2024 to Feb 13, 2025
- Assets in custody · unset to 803785.0Feb 24, 2024 to Feb 13, 2025
- Custody of client assets · false to trueFeb 24, 2024 to Feb 13, 2025
- Financial planning clients · 1-10 to 1-10Feb 24, 2024 to Feb 13, 2025
- Discretionary RAUM · $124M to $137MFeb 24, 2024 to Feb 13, 2025
- HNW RAUM · $77.5M to $78.3MFeb 24, 2024 to Feb 13, 2025
- Individual RAUM · $43.7M to $57.6MFeb 24, 2024 to Feb 13, 2025
- RAUM · $124M to $137MFeb 24, 2024 to Feb 13, 2025
- Other offices · 3 to 4Sep 29, 2023 to Feb 23, 2024
- Accounts · 675 to 315Sep 29, 2023 to Feb 23, 2024
- Advisory employees · 5 to 6Sep 29, 2023 to Feb 23, 2024
- Corporate clients · unset to 8.0Sep 29, 2023 to Feb 23, 2024
- HNW clients · 33 to 32Sep 29, 2023 to Feb 23, 2024
- Individual clients · 213 to 274Sep 29, 2023 to Feb 23, 2024
- Pension plan clients · 5.0 to unsetSep 29, 2023 to Feb 23, 2024
- Employees · 5 to 6Sep 29, 2023 to Feb 23, 2024
- State-registered IARs · 5 to 6Sep 29, 2023 to Feb 23, 2024
- Discretionary RAUM · $109M to $124MSep 29, 2023 to Feb 23, 2024
- HNW RAUM · $73.4M to $77.5MSep 29, 2023 to Feb 23, 2024
- Individual RAUM · $34.0M to $43.7MSep 29, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $9.3M to $0Sep 29, 2023 to Feb 23, 2024
- Pension RAUM · 9300535.0 to unsetSep 29, 2023 to Feb 23, 2024
- RAUM · $119M to $124MSep 29, 2023 to Feb 23, 2024
- Advisory employees · 4 to 5Mar 21, 2023 to Jul 19, 2023
- Employees · 4 to 5Mar 21, 2023 to Jul 19, 2023
- State-registered IARs · 4 to 5Mar 21, 2023 to Jul 19, 2023
- Other offices · 2 to 3Mar 21, 2023 to Jul 19, 2023
Signals
1 dated events
- B••••••••• I••••••••• G••••• L•• reported RAUM $93.2M, down 60% from $235.4M (2017-03-27 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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
- 866-620-2949reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-741-6636reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- focuspointefinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 423-698-6256reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- focuspointefinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $25.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026