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
E•••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since May 1, 2009
RAUM
$523M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
81%
$424M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$261M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$523M as of Mar 31, 2026
Mar 30, 2012$107M then
HNW client RAUM$276M as of Mar 31, 2026
Mar 28, 2018$81.2M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- $261MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 244derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $363,055derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $120M, 164 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$276M53%
- Individuals$148M28%
- Pension and profit-sharing plans$97.8M19%
- Corporations and businesses$1.4M0.3%
- Individual clients
- 357reported
- HNW clients
- 130reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 1,440reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $120M for 164 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 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 |
|---|---|---|---|---|
| M•••••• P•••••• O••••••••Certified Financial Planner | Chattanooga, Tn | May 1, 2009 | 19 y | 1 |
| J•••• H••••• P••••Certified Financial Planner | Chattanooga, Tn | Apr 18, 2016 | 42 y | 3 |
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
none on the tape
Joined, latest
- J•••• H••••• P•••• from H•• W••••• A•••••••• L••Apr 18, 2016 · Other
- M•••••• P•••••• O•••••••• from H•• W••••• A•••••••• L••May 1, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• J••••• P•••• · Member & Chief Compliance Officercontrolsince 10/2008 · owns 50% to 75%
- P••••• J••••• H••••• · Managing Membercontrolsince 10/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Chattanooga, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,408 to 1,440Mar 31, 2025 to Mar 31, 2026
- HNW clients · 107 to 130Mar 31, 2025 to Mar 31, 2026
- Individual clients · 380 to 357Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $86.5M to $120MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $410M to $456MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $221M to $276MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $157M to $148MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $54.9M to $66.5MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $86.4M to $97.8MMar 31, 2025 to Mar 31, 2026
- RAUM · $465M to $523MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,360 to 1,408Mar 29, 2024 to Mar 31, 2025
- HNW clients · 90 to 107Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 6 to 7Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $60.8M to $86.5MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $351M to $410MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $173M to $221MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $149M to $157MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $46.5M to $54.9MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $75.8M to $86.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $397M to $465MMar 29, 2024 to Mar 31, 2025
- Accounts · 1,314 to 1,360Mar 28, 2023 to Mar 29, 2024
- HNW clients · 66 to 90Mar 28, 2023 to Mar 29, 2024
- Individual clients · 389 to 380Mar 28, 2023 to Mar 29, 2024
- Assets in custody · $57.0M to $60.8MMar 28, 2023 to Mar 29, 2024
- Employees · 5 to 6Mar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $283M to $351MMar 28, 2023 to Mar 29, 2024
- HNW RAUM · $116M to $173MMar 28, 2023 to Mar 29, 2024
- Individual RAUM · $141M to $149MMar 28, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $37.7M to $46.5MMar 28, 2023 to Mar 29, 2024
- Pension RAUM · $63.2M to $75.8MMar 28, 2023 to Mar 29, 2024
- RAUM · $321M to $397MMar 28, 2023 to Mar 29, 2024
- Accounts · 1,228 to 1,314Apr 12, 2022 to Mar 28, 2023
- HNW clients · 96 to 66Apr 12, 2022 to Mar 28, 2023
- Individual clients · 339 to 389Apr 12, 2022 to Mar 28, 2023
- Assets in custody · $58.1M to $57.0MApr 12, 2022 to Mar 28, 2023
- Financial planning clients · 101-250 to 251-500Apr 12, 2022 to Mar 28, 2023
- Discretionary RAUM · $323M to $283MApr 12, 2022 to Mar 28, 2023
- HNW RAUM · $173M to $116MApr 12, 2022 to Mar 28, 2023
- Individual RAUM · $121M to $141MApr 12, 2022 to Mar 28, 2023
Signals
3 dated events
- Harral James Place (Managing Member) appeared on Schedule A of E•••••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- Patrick Michael O'Donnell (Managing Member) no longer on Schedule A of E•••••••• A•••••••• L•• (listed 2023-03-28, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Harral James Place (Managing Member) no longer on Schedule A of E•••••••• A•••••••• L•• (listed 2021-03-19, absent 2022-01-24)Jan 24, 2022 · Control person left · inference
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
- maria@evergreenadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- beth@evergreenadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- bharris@evergreenadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- jodonnell@evergreenadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- kyle@evergreenadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 423-933-1814reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 423-208-9024reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 423-933-1818reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 423-933-1814reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- evergreenadvisors.com/our-peoplereportedpublished 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
- $261Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026