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•••••• W•••••

Independent wealth managerChattanooga, TennesseeCRD 149999SEC 801-136423websiteIAPD
Legal name I•••••• W•••••• L••
Latest filing May 4, 2026
First filing on the tape May 4, 2026 · 1 filings
SEC status approved since Jun 4, 2026
RAUM
$116M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
82%
$95.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $116M
HNW client RAUM: $63.8M
State-registered IARs (5.B.3): 1
Employees (5.A): 2
Private funds: no history
Practice profile
derived from the filing of May 4, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
183derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$283,371derivedRAUM over accounts (5.F.2.f)
Discretionary
84%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • 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$63.8M55%
  • Individuals$31.9M27%
  • Pension and profit-sharing plans$18.7M16%
  • Charitable organizations$1.6M1.3%
  • Corporations and businesses$570,0570.5%
Individual clients
154reported
HNW clients
29reported
Pension plan clients
13reported
Charitable clients
n/areported
Accounts
411reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.82 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• A••••• H•••••Certified Financial PlannerChattanooga, TnApr 28, 200918 y1
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••• D••••• A••••• · Managing Member, Principal, Chief Compliance Officercontrol
    since 03/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Cary, Nc001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • N••••••• A••••• F••••••• left I•••••• W••••• for T•••••••• W••••• M••••••••• (registered 2026-03-23)
    Mar 12, 2026 · Advisor changed firm · 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
h•••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
423-664-0344reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
423-822-2263reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
423-827-3611reportedpublished by the firm, firm site, Sep 16, 2026
Website
I••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
423-664-0344reportedpublic record, Form ADV, May 4, 2026
Contact form
i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Team page
i•••••••••.comreportedpublished 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
$116Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026