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•••••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)Hendersonville, TennesseeCRD 160509SEC 801-135558websiteIAPD
Latest filing Sep 17, 2026
First filing on the tape Feb 12, 2026 · 3 filings
SEC status approved since Jun 15, 2026
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$153M as of Jul 30, 2026
Feb 12, 2026$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Feb 12, 20260 then
Employees (5.A)4 as of Jul 30, 2026
Feb 12, 20264 then
Private funds2 as of Jul 30, 2026
Feb 12, 20262 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$76.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$153M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••••• C•••••• P•••••••• L•••Hedge Fund$119M41Mar 19, 2012
      E•••••••• C•••••• S•••••• G••••• F•••• L•••Hedge Fund$7.1M18Mar 31, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• C••••••• K•••••• · Manager And Membercontrol
        since 02/2001 · owns less than 5%
      • B•••••••• T•••• J•••• · Member Chief Compliance Officercontrol
        since 02/2001 · owns 75% or more
      • B•••••••• B••••• K•••••• · Co-Manager
        since 01/2026 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · to unset
        Jul 30, 2026 to Sep 17, 2026
      • Private funds · 2 to unset
        Jul 30, 2026 to Sep 17, 2026
      • Succession · false to unset
        Jul 30, 2026 to Sep 17, 2026
      Signals
      No event on the tape.
      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
      Website
      E••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      615-824-1445reportedpublic record, Form ADV, 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
      Asset manager (funds and pooled vehicles)deriveda 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