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

S•••••••• F•••••••• G••••• L••

Independent wealth managerGoodlettsville, TennesseeCRD 160266SEC 801-127052websiteIAPD
Latest filing Jul 9, 2026
First filing on the tape May 17, 2016 · 89 filings
SEC status approved since Dec 19, 2022
RAUM
$756M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
100%
$756M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$54.0M
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
89 filings and snapshots on the tape
RAUM$756M as of Jul 9, 2026
Mar 2, 2017$127M then
HNW client RAUM$339M as of Jul 9, 2026
Feb 20, 2018$20.0M then
State-registered IARs (5.B.3)14 as of Jul 9, 2026
Mar 2, 201711 then
Employees (5.A)14 as of Jul 9, 2026
Mar 2, 201714 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 6 to 14offices 1 to 3
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
RAUM per advisor
$54.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
176derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$205,568derivedRAUM over accounts (5.F.2.f)
Discretionary
26%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+133%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$416M55%
  • High-net-worth individuals$339M45%
Individual clients
2,338reported
HNW clients
131reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3,676reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
14 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• D•••••• J••••••Goodlettsville, TnDec 20, 202226 y3
D•••• O•••••• P••••Goodlettsville, TnDec 21, 202210 y2
L•••• R•• S••••Goodlettsville, TnDec 21, 202215 y4
D•••• L••• C••••Goodlettsville, TnDec 22, 202238 y3
J•••••• P••••• A•••••••Goodlettsville, TnDec 22, 202215 y3
P•••••• J••••• W•••••Goodlettsville, Tn Dec 22, 202232 y3
C••• C•••••• W•••Goodlettsville, TnDec 22, 202215 y1
J••• F••••• E••••Certified Financial PlannerGoodlettsville, Tn Jan 23, 202323 y5
H••••• G•••• J••••••Goodlettsville, TnSep 19, 202313 y0
J•••• R••• F•••••Phoenix, Az Jan 24, 202410 y2
J•••••• L•••• W•••Goodlettsville, TnAug 4, 202522 y0
P••• S••• G•••Goodlettsville, TnJan 1, 202612 y1
M••••• K••••• B••Goodlettsville, Tn Mar 5, 202610 y0
J••• B•••••• B•••••••••Goodlettsville, TnApr 14, 202613 y0
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount2 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J••••••• D•••••• D•••••• · Managing Partner And Chief Compliance Officercontrol
    since 08/2009 · owns 50% to 75%
  • J••••••• P••••• C•••••••• · Member
    since 08/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
  • S•••••••• F•••••••• G••••
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Goodlettsville, Tn · principal1431
Spring, Tx101
Offices
Schedule D 1.F, the 25 largest
  • Phoenix, AZ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • advisor count surgeChange between filings · filing Mar 31, 2026
    advisory representatives (Item 5.B.3) moved from 6.0 to 14.0 (+133.0%) between the annual amendments of 2025-02-07 and 2026-03-31; the peer median change was 0.0% (795 comparable advisers, 100.0th percentile of changes)
    peers: independent wealth managers, $500M to $1B (795) · 100% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Advisory employees · 15 to 14
    May 4, 2026 to Jul 9, 2026
  • Employees · 15 to 14
    May 4, 2026 to Jul 9, 2026
  • State-registered IARs · 15 to 14
    May 4, 2026 to Jul 9, 2026
  • Advisory employees · 14 to 15
    Mar 31, 2026 to May 4, 2026
  • Employees · 14 to 15
    Mar 31, 2026 to May 4, 2026
  • State-registered IARs · 14 to 15
    Mar 31, 2026 to May 4, 2026
  • Advisory employees · 12 to 14
    Jan 16, 2026 to Mar 31, 2026
  • Employees · 12 to 14
    Jan 16, 2026 to Mar 31, 2026
  • State-registered IARs · 12 to 14
    Jan 16, 2026 to Mar 31, 2026
  • Other offices · 1 to 3
    Jan 16, 2026 to Mar 31, 2026
  • Accounts · 3,583 to 3,676
    Dec 23, 2025 to Jan 16, 2026
  • HNW clients · 80 to 131
    Dec 23, 2025 to Jan 16, 2026
  • Individual clients · 2,204 to 2,338
    Dec 23, 2025 to Jan 16, 2026
  • HNW RAUM · $200M to $339M
    Dec 23, 2025 to Jan 16, 2026
  • Individual RAUM · $408M to $416M
    Dec 23, 2025 to Jan 16, 2026
  • Non-discretionary RAUM · $408M to $556M
    Dec 23, 2025 to Jan 16, 2026
  • RAUM · $608M to $756M
    Dec 23, 2025 to Jan 16, 2026
  • Advisory employees · 7 to 12
    Aug 18, 2025 to Dec 23, 2025
  • Employees · 11 to 12
    Aug 18, 2025 to Dec 23, 2025
  • State-registered IARs · 7 to 12
    Aug 18, 2025 to Dec 23, 2025
  • Advisory employees · 6 to 7
    Feb 7, 2025 to Aug 18, 2025
  • Employees · 10 to 11
    Feb 7, 2025 to Aug 18, 2025
  • Financial planning clients · 0 to 0
    Feb 7, 2025 to Aug 18, 2025
  • State-registered IARs · 6 to 7
    Feb 7, 2025 to Aug 18, 2025
  • Accounts · 2,400 to 3,583
    Apr 15, 2024 to Feb 7, 2025
  • Advisory employees · 13 to 6
    Apr 15, 2024 to Feb 7, 2025
  • Advisory activities · 3 to 4
    Apr 15, 2024 to Feb 7, 2025
  • HNW clients · 53 to 80
    Apr 15, 2024 to Feb 7, 2025
  • Individual clients · 2,118 to 2,204
    Apr 15, 2024 to Feb 7, 2025
  • Assets in custody · 377910000.0 to unset
    Apr 15, 2024 to Feb 7, 2025
  • Custody of client assets · true to false
    Apr 15, 2024 to Feb 7, 2025
  • Employees · 16 to 10
    Apr 15, 2024 to Feb 7, 2025
  • Insurance-licensed employees · 3 to 0
    Apr 15, 2024 to Feb 7, 2025
  • State-registered IARs · 13 to 6
    Apr 15, 2024 to Feb 7, 2025
  • Discretionary RAUM · $100M to $200M
    Apr 15, 2024 to Feb 7, 2025
  • HNW RAUM · $121M to $200M
    Apr 15, 2024 to Feb 7, 2025
  • Individual RAUM · $256M to $408M
    Apr 15, 2024 to Feb 7, 2025
  • Non-discretionary RAUM · $278M to $408M
    Apr 15, 2024 to Feb 7, 2025
  • RAUM · $378M to $608M
    Apr 15, 2024 to Feb 7, 2025
  • Accounts · 2,405 to 2,400
    Jan 31, 2024 to Mar 20, 2024
Signals
8 dated events
  • R•••••• T••••• B•••••••• left S•••••••• F•••••••• G••••• L•• for P•••••••• W••••• P••••••• (registered 2026-06-02)
    Apr 23, 2026 · Advisor changed firm · fact
  • J••••• P••• N••• left S•••••••• F•••••••• G••••• L•• for L•••••• M••• R••••••••• G•••• L•• (registered 2026-02-03)
    Jan 14, 2026 · Advisor changed firm · fact
  • S•••••••• F•••••••• G••••• L•• reported RAUM $607.7M, up 61% from $377.9M (2024-04-15 to 2025-02-07)
    Feb 7, 2025 · RAUM change · derived
  • 5 advisors left A•••••••• C•••••• M••••••••• (Cornelius, NC) for S•••••••• F•••••••• G••••• L•• on the same day
    Apr 20, 2023 · Team lift-out · derived
  • 2 advisors left A•••••••• C•••••• M••••••••• (G•••lettsville, TN) for S•••••••• F•••••••• G••••• L•• a day apart
    Apr 19, 2023 · Team lift-out · derived
  • S•••••••• F•••••••• G••••• L•• reported 0 offices beyond its principal office, down from 6 (2021-05-10 to 2022-11-16)
    Nov 16, 2022 · Office count change · derived
  • S•••••••• F•••••••• G••••• L•• reported RAUM $0, down 100% from $365.0M (2021-05-10 to 2022-11-16)
    Nov 16, 2022 · RAUM change · derived
  • S•••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    May 17, 2016 · ria f•••• adv filing · 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
615-859-4567reportedpublished by the firm, firm site, Sep 15, 2026
Website
H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(615) 859-4567reportedpublic record, Form ADV, Jul 9, 2026
Team page
sageguardfinancial.com/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
$54.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026