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 Mar 30, 2026
First filing on the tape Mar 1, 2012 · 54 filings
SEC status approved since Jan 29, 2009
RAUM
$2.0B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$2.0B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
19
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2026
Mar 1, 2012$465M then
HNW client RAUM$1.8B as of Mar 30, 2026
Mar 31, 2018$798M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 1, 20120 then
Employees (5.A)19 as of Mar 30, 2026
Mar 5, 201313 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $725,821derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B87%
- Individuals$229M11%
- Charitable organizations$32.7M1.6%
- Individual clients
- 1,041reported
- HNW clients
- 366reported
- Pension plan clients
- n/areported
- Charitable clients
- 22reported
- Accounts
- 2,798reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• J••• P••••••• | Franklin, Tn | Dec 21, 2009 | 45 y | 4 |
| J••••••• P••••••• H••••• | Franklin, Tn | Mar 9, 2015 | 16 y | 0 |
| R••• J••••• H••• | Franklin, Tn | Mar 11, 2015 | 26 y | 0 |
| T•••• A•• O•••• | Franklin, Tn | May 5, 2015 | 30 y | 0 |
| D••• K••• O•••••••Chartered Financial Analyst | Franklin, Tn | Apr 22, 2020 | 10 y | 0 |
| J•••• A• K•••••• | Franklin, Tn | Sep 28, 2021 | 10 y | 0 |
| H•••••• M•••• S•••••• | Franklin, Tn | Oct 21, 2022 | 11 y | 1 |
| M•••••• H••••••• V••••• | Franklin, Tn | Nov 8, 2022 | 14 y | 0 |
| B•••• E••••• H•••••••Personal Financial Specialist | Franklin, Tn | Jun 30, 2025 | 11 y | 0 |
| M•••••• D••• S•••••Certified Financial Planner | Franklin, Tn | Jul 17, 2025 | 15 y | 2 |
| C•••• A••••• A•••••••• | Franklin, Tn | Dec 9, 2025 | 11 y | 0 |
| P••••• J•••• V••••••Chartered Financial Analyst | Franklin, Tn | Jan 2, 2026 | 23 y | 4 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- C•••• C•••• S•••••• to S•••••• I••••••••• C•••••• L••Jan 20, 2026 · RIA to a state-registered adviser
- M•••••• H••••• Y•••••••• to R•• A•••••••• L••Oct 1, 2024 · RIA to RIA
- J••• L• L••••• to A•••••••• P••••••• L••Apr 15, 2020 · RIA to RIA
- C•••••• M••• W••••••••• to J••••• H•••••••• W••• L••••• L••Apr 16, 2015 · Other
Joined, latest
- P••••• J•••• V•••••• from C•••••••• I•••••••• L••Jan 2, 2026 · Other
- C•••• C•••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 9, 2025 · Wirehouse to independent RIA
- M•••••• D••• S••••• from S••••••••• W••••• P•••••••Jul 17, 2025 · RIA to RIA
- H•••••• M•••• S•••••• from S••••••••• W••••• P•••••••Oct 21, 2022 · RIA to RIA
- C•••••• M••• W••••••••• from L••••• F••••••••• I•••Dec 22, 2009 · Other
- T•••••• J••• P••••••• from L••••• F••••••••• I•••Dec 21, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• T••••••• J••• · Chairmancontrolsince 01/2013 · owns less than 5%
- V••••••• P•••••• J•••• · President, Chief Executive Officercontrolsince 01/2013 · owns less than 5%
- P•••••••• T••••••• J••• · Membercontrolsince 06/2014 · owns 50% to 75% of C•••••••• G••••• L••
- H•••• R•••• J••••• · Ccosince 01/2020 · owns less than 5%
Entity owners
- C•••••••• G••••• L•• · Partnershipdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Franklin, Tn · principal | 12 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,526 to 2,798Jan 9, 2026 to Mar 30, 2026
- Charity clients · 21 to 22Jan 9, 2026 to Mar 30, 2026
- HNW clients · 360 to 366Jan 9, 2026 to Mar 30, 2026
- Individual clients · 817 to 1,041Jan 9, 2026 to Mar 30, 2026
- Employees · 16 to 19Jan 9, 2026 to Mar 30, 2026
- Discretionary RAUM · $2.0B to $2.0BJan 9, 2026 to Mar 30, 2026
- HNW RAUM · $1.8B to $1.8BJan 9, 2026 to Mar 30, 2026
- Individual RAUM · $225M to $229MJan 9, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $32.3M to $32.9MJan 9, 2026 to Mar 30, 2026
- RAUM · $2.0B to $2.0BJan 9, 2026 to Mar 30, 2026
- Accounts · 2,495 to 2,526Aug 13, 2025 to Oct 17, 2025
- HNW clients · 353 to 360Aug 13, 2025 to Oct 17, 2025
- Individual clients · 821 to 817Aug 13, 2025 to Oct 17, 2025
- Discretionary RAUM · $1.9B to $2.0BAug 13, 2025 to Oct 17, 2025
- HNW RAUM · $1.6B to $1.8BAug 13, 2025 to Oct 17, 2025
- Individual RAUM · $217M to $225MAug 13, 2025 to Oct 17, 2025
- Non-discretionary RAUM · $31.5M to $32.3MAug 13, 2025 to Oct 17, 2025
- RAUM · $1.9B to $2.0BAug 13, 2025 to Oct 17, 2025
- Accounts · 2,431 to 2,495Mar 26, 2025 to Jul 16, 2025
- HNW clients · 323 to 353Mar 26, 2025 to Jul 16, 2025
- Individual clients · 815 to 821Mar 26, 2025 to Jul 16, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2025 to Jul 16, 2025
- Discretionary RAUM · $1.7B to $1.9BMar 26, 2025 to Jul 16, 2025
- HNW RAUM · $1.5B to $1.6BMar 26, 2025 to Jul 16, 2025
- Individual RAUM · $217M to $217MMar 26, 2025 to Jul 16, 2025
- Non-discretionary RAUM · $28.5M to $31.5MMar 26, 2025 to Jul 16, 2025
- RAUM · $1.7B to $1.9BMar 26, 2025 to Jul 16, 2025
- Accounts · 1,992 to 2,431Sep 23, 2024 to Mar 26, 2025
- Advisory employees · 5 to 11Sep 23, 2024 to Mar 26, 2025
- Charity clients · 13 to 21Sep 23, 2024 to Mar 26, 2025
- HNW clients · 297 to 323Sep 23, 2024 to Mar 26, 2025
- Individual clients · 524 to 815Sep 23, 2024 to Mar 26, 2025
- Employees · 20 to 16Sep 23, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.3B to $1.7BSep 23, 2024 to Mar 26, 2025
- HNW RAUM · $1.1B to $1.5BSep 23, 2024 to Mar 26, 2025
- Individual RAUM · $209M to $217MSep 23, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $17.0M to $28.5MSep 23, 2024 to Mar 26, 2025
- RAUM · $1.4B to $1.7BSep 23, 2024 to Mar 26, 2025
- Accounts · 1,946 to 1,992Aug 28, 2023 to Mar 21, 2024
- Advisory employees · 12 to 5Aug 28, 2023 to Mar 21, 2024
Signals
4 dated events
- C•••• C•••• S•••••• left C•••••••• A•••••••• L•• for S•••••• I••••••••• C•••••• L•• (registered 2026-07-23)Jan 20, 2026 · Advisor changed firm · fact
- C•••••••• A•••••••• L•• reported RAUM $1.7B, up 26% from $1.4B (2024-09-23 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- M•••••• H••••• Y•••••••• left C•••••••• A•••••••• L•• for R•• A•••••••• L•• (registered 2024-10-02)Oct 1, 2024 · Advisor changed firm · fact
- Joseph Ryan Hitt (Cco) appeared on Schedule A of C•••••••• A•••••••• L••Mar 30, 2020 · Control person joined · 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
- 615-778-0740reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/2204808reportedpublic record, Form ADV, Sep 19, 2026
- Website
- capwealthgroup.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 615-778-0740reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- capwealthgroup.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- capwealthgroup.com/our-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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026