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.
SEC-registered adviser
Efinancial Alliance, LLC
Latest filing Apr 16, 2026
First filing on the tape Feb 27, 2023 · 7 filings
SEC status approved since Apr 4, 2023
RAUM
$292M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$290M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$73.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$292M as of Apr 16, 2026
Mar 8, 2024$196M then
HNW client RAUM$42.5M as of Apr 16, 2026
Mar 8, 2024$87.0M then
State-registered IARs (5.B.3)3 as of Apr 16, 2026
Mar 8, 20243 then
Employees (5.A)5 as of Apr 16, 2026
Mar 8, 20246 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $73.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $500,474derivedHNW RAUM over HNW clients
- Average account
- $334,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +104%derived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$247M85%
- High-net-worth individuals$42.5M15%
- Charitable organizations$2.3M0.8%
- Individual clients
- 123reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 873reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mitchell Kevin Anderson | Franklin, Tn | Apr 20, 2012 | 15 y | 1 |
| Destin Michael TompkinsChartered Financial Analyst | Franklin, Tn | Dec 5, 2013 | 23 y | 1 |
| Frederick Allan PhillipsCertified Financial Planner | Franklin, Tn | Jan 25, 2024 | 20 y | 5 |
| Christian Joseph Barr | Franklin, Tn | Apr 10, 2026 | 16 y | 0 |
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
- Frederick Allan Phillips from Origin Investment Advisory LLCJan 25, 2024 · RIA to RIA
- Destin Michael Tompkins from M Holdings Securities, Inc.Dec 5, 2013 · Other
- Mitchell Kevin Anderson from Envision Wealth PlanningApr 20, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kevin Mitchell Anderson · Managing Member/Chief Compliance Officercontrolsince 02/2012 · owns 75% or more
- Michael Destin Tompkins · Membercontrolsince 02/2015 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Franklin, Tn · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 16, 2026individual and HNW clients (Item 5.D) moved from 102.0 to 208.0 (+104.0%) between the annual amendments of 2025-02-07 and 2026-04-16; the peer median change was +3.0% (3310 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 99% percentile
- HNW share shiftChange between filings · filing Apr 16, 2026HNW share of RAUM moved from 86.0% to 15.0% between the annual amendments of 2025-02-07 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 707 to 873Feb 7, 2025 to Mar 26, 2026
- Charity clients · 2 to 4Feb 7, 2025 to Mar 26, 2026
- HNW clients · 53 to 85Feb 7, 2025 to Mar 26, 2026
- Individual clients · 49 to 123Feb 7, 2025 to Mar 26, 2026
- Employees · 4 to 5Feb 7, 2025 to Mar 26, 2026
- Discretionary RAUM · $226M to $292MFeb 7, 2025 to Mar 26, 2026
- HNW RAUM · $195M to $42.5MFeb 7, 2025 to Mar 26, 2026
- Individual RAUM · $29.5M to $247MFeb 7, 2025 to Mar 26, 2026
- RAUM · $226M to $292MFeb 7, 2025 to Mar 26, 2026
- Related insurance company · false to trueFeb 7, 2025 to Mar 26, 2026
- Accounts · 693 to 707Jan 21, 2025 to Feb 7, 2025
- Charity clients · 5 to 2Jan 21, 2025 to Feb 7, 2025
- HNW clients · 42 to 53Jan 21, 2025 to Feb 7, 2025
- Individual clients · 150 to 49Jan 21, 2025 to Feb 7, 2025
- Employees · 6 to 4Jan 21, 2025 to Feb 7, 2025
- Financial planning clients · 26-50 to 101-250Jan 21, 2025 to Feb 7, 2025
- Other offices · 1 to 0Jan 21, 2025 to Feb 7, 2025
- Discretionary RAUM · $196M to $226MJan 21, 2025 to Feb 7, 2025
- HNW RAUM · $87.0M to $195MJan 21, 2025 to Feb 7, 2025
- Individual RAUM · $108M to $29.5MJan 21, 2025 to Feb 7, 2025
- RAUM · $196M to $226MJan 21, 2025 to Feb 7, 2025
- Accounts · 603 to 693May 16, 2023 to Mar 8, 2024
- Advisory employees · 2 to 3May 16, 2023 to Mar 8, 2024
- Charity clients · unset to 5.0May 16, 2023 to Mar 8, 2024
- HNW clients · 20 to 42May 16, 2023 to Mar 8, 2024
- Individual clients · 142 to 150May 16, 2023 to Mar 8, 2024
- Pension plan clients · 5.0 to unsetMay 16, 2023 to Mar 8, 2024
- Employees · 4 to 6May 16, 2023 to Mar 8, 2024
- State-registered IARs · 2 to 3May 16, 2023 to Mar 8, 2024
- Discretionary RAUM · $123M to $196MMay 16, 2023 to Mar 8, 2024
- HNW RAUM · $40.0M to $87.0MMay 16, 2023 to Mar 8, 2024
- Individual RAUM · $82.5M to $108MMay 16, 2023 to Mar 8, 2024
- Pension RAUM · 500000.0 to unsetMay 16, 2023 to Mar 8, 2024
- RAUM · $123M to $196MMay 16, 2023 to Mar 8, 2024
Signals
1 dated events
- Efinancial Alliance, Llc filed its initial SEC registration (Form ADV)Feb 27, 2023 · First SEC registration · 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
- support@efinancialalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- emily@efinancialalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mitch@efinancialalliance.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- EFINANCIALALLIANCE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 615-224-8534reportedpublic record, Form ADV, Apr 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
- $73.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026