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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Former SEC-registered adviser
P•••••• S••••• F•••••••• A•••••••• L••
Latest filing Mar 18, 2024
First filing on the tape Feb 23, 2012 · 27 filings
RAUM
$303M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
55%
$165M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$303M as of Mar 18, 2024
Mar 18, 2013$159M then
HNW client RAUM$141M as of Mar 18, 2024
Mar 29, 2018$62.1M then
State-registered IARs (5.B.3)4 as of Mar 18, 2024
Mar 18, 20132 then
Employees (5.A)7 as of Mar 18, 2024
Mar 18, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year-0.6% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
- RAUM per advisor
- $75.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $660,893derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 54%derivedof RAUM
- Institutional
- 45%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $20.8M, 11 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)
- 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$141M46%
- Pension and profit-sharing plans$137M45%
- Individuals$24.3M8.0%
- Corporations and businesses$443,3160.1%
- Individual clients
- 77reported
- HNW clients
- 60reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 458reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.8M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- H••••• P••••• A••••••• to S•••• S•••••• W••••• G••••Dec 13, 2024 · RIA to RIA
- D••••• J• B••••• to S••••••••• W••••• P•••••••Oct 19, 2022 · RIA to RIA
- W••••• H••••• M•••••••• to S••••••••• W••••• P•••••••Jul 8, 2021 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• D••••• L•••••• · Managing Member/Chief Compliance Officercontrolsince 03/2012 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brentwood, Tn · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 407 to 458Mar 27, 2023 to Mar 18, 2024
- HNW clients · 54 to 60Mar 27, 2023 to Mar 18, 2024
- Individual clients · 81 to 77Mar 27, 2023 to Mar 18, 2024
- Assets in custody · $16.5M to $20.8MMar 27, 2023 to Mar 18, 2024
- State-registered IARs · 3 to 4Mar 27, 2023 to Mar 18, 2024
- Discretionary RAUM · $142M to $163MMar 27, 2023 to Mar 18, 2024
- HNW RAUM · $118M to $141MMar 27, 2023 to Mar 18, 2024
- Individual RAUM · $24.3M to $24.3MMar 27, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $116M to $140MMar 27, 2023 to Mar 18, 2024
- Pension RAUM · $114M to $137MMar 27, 2023 to Mar 18, 2024
- RAUM · $258M to $303MMar 27, 2023 to Mar 18, 2024
- Accounts · 322 to 407Oct 31, 2022 to Mar 27, 2023
- Advisory employees · 6 to 5Oct 31, 2022 to Mar 27, 2023
- Corporate clients · 5 to 3Oct 31, 2022 to Mar 27, 2023
- HNW clients · 55 to 54Oct 31, 2022 to Mar 27, 2023
- Individual clients · 69 to 81Oct 31, 2022 to Mar 27, 2023
- Pension plan clients · 12 to 14Oct 31, 2022 to Mar 27, 2023
- Assets in custody · unset to 16529910.0Oct 31, 2022 to Mar 27, 2023
- Custody of client assets · false to trueOct 31, 2022 to Mar 27, 2023
- Employees · 8 to 7Oct 31, 2022 to Mar 27, 2023
- State-registered IARs · 4 to 3Oct 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $162M to $142MOct 31, 2022 to Mar 27, 2023
- HNW RAUM · $140M to $118MOct 31, 2022 to Mar 27, 2023
- Individual RAUM · $22.5M to $24.3MOct 31, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $148M to $116MOct 31, 2022 to Mar 27, 2023
- Pension RAUM · $146M to $114MOct 31, 2022 to Mar 27, 2023
- RAUM · $310M to $258MOct 31, 2022 to Mar 27, 2023
- Accounts · 275 to 322Sep 7, 2021 to Mar 30, 2022
- Advisory employees · 3 to 6Sep 7, 2021 to Mar 30, 2022
- BD registered reps · 2 to 0Sep 7, 2021 to Mar 30, 2022
- Corporate clients · 4 to 5Sep 7, 2021 to Mar 30, 2022
- HNW clients · 46 to 55Sep 7, 2021 to Mar 30, 2022
- Individual clients · 59 to 69Sep 7, 2021 to Mar 30, 2022
- Employees · 6 to 8Sep 7, 2021 to Mar 30, 2022
- Financial planning clients · 0 to 1-10Sep 7, 2021 to Mar 30, 2022
- State-registered IARs · 3 to 4Sep 7, 2021 to Mar 30, 2022
- Discretionary RAUM · $126M to $162MSep 7, 2021 to Mar 30, 2022
- HNW RAUM · $105M to $140MSep 7, 2021 to Mar 30, 2022
- Individual RAUM · $20.7M to $22.5MSep 7, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $182M to $148MSep 7, 2021 to Mar 30, 2022
Signals
2 dated events
- H••••• P••••• A••••••• left P•••••• S••••• F•••••••• A•••••••• L•• for S•••• S•••••• W••••• G•••• (registered 2024-11-04)Dec 13, 2024 · Advisor changed firm · fact
- D••••• J• B••••• left P•••••• S••••• F•••••••• A•••••••• L•• for S••••••••• W••••• P••••••• (registered 2022-11-22)Oct 19, 2022 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026