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
A• I••••••••• S••••••••• L••
Latest filing Feb 11, 2026
First filing on the tape Oct 17, 2012 · 41 filings
SEC status approved since Nov 8, 2012
RAUM
$738M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
99%
$733M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$369M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$738M as of Feb 11, 2026
May 30, 2013$169M then
HNW client RAUM$623M as of Feb 11, 2026
Mar 6, 2018$324M then
State-registered IARs (5.B.3)2 as of Feb 11, 2026
May 30, 20132 then
Employees (5.A)5 as of Feb 11, 2026
May 30, 20132 then
Private funds: no history
RAUM +4.0% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 11, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $369MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 288derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $532,006derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $228M, 98 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$623M84%
- Individuals$110M15%
- Pension and profit-sharing plans$4.4M0.6%
- Individual clients
- 436reported
- HNW clients
- 140reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,388reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $228M for 98 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• D•••••• M•••••Certified Financial Planner | Chattanooga, Tn | Nov 9, 2012 | 28 y | 3 |
| L•••• G••••••• O••••• | Chattanooga, Tn | Nov 27, 2012 | 19 y | 3 |
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
- L•••• G••••••• O••••• from B••••••• F• E•••••• • C••••••• I•••••••••Nov 27, 2012 · Other
- A•• D•••••• M••••• from B••••••• F• E•••••• • C••••••• I•••••••••Nov 9, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• A••• D•••••• · Managing Member /Managercontrolsince 10/2012 · owns 75% or more
- O•••••• L••••• G••••••• · Managing Member/Manager/Chief Compliance Officercontrolsince 02/2013 · 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 |
|---|---|---|---|---|---|
| Chattanooga, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,357 to 1,388Nov 6, 2025 to Feb 11, 2026
- HNW clients · 132 to 140Nov 6, 2025 to Feb 11, 2026
- Individual clients · 438 to 436Nov 6, 2025 to Feb 11, 2026
- Assets in custody · $146M to $228MNov 6, 2025 to Feb 11, 2026
- Discretionary RAUM · $548M to $594MNov 6, 2025 to Feb 11, 2026
- HNW RAUM · $600M to $623MNov 6, 2025 to Feb 11, 2026
- Individual RAUM · $105M to $110MNov 6, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $162M to $145MNov 6, 2025 to Feb 11, 2026
- Pension RAUM · $4.0M to $4.4MNov 6, 2025 to Feb 11, 2026
- RAUM · $710M to $738MNov 6, 2025 to Feb 11, 2026
- Financial planning clients · 0 to 0Jul 24, 2025 to Nov 6, 2025
- Accounts · 1,293 to 1,357Jan 6, 2025 to Feb 4, 2025
- HNW clients · 119 to 132Jan 6, 2025 to Feb 4, 2025
- Individual clients · 419 to 438Jan 6, 2025 to Feb 4, 2025
- Assets in custody · $142M to $146MJan 6, 2025 to Feb 4, 2025
- Discretionary RAUM · $445M to $548MJan 6, 2025 to Feb 4, 2025
- HNW RAUM · $521M to $600MJan 6, 2025 to Feb 4, 2025
- Individual RAUM · $96.7M to $105MJan 6, 2025 to Feb 4, 2025
- Non-discretionary RAUM · $177M to $162MJan 6, 2025 to Feb 4, 2025
- Pension RAUM · $3.4M to $4.0MJan 6, 2025 to Feb 4, 2025
- RAUM · $622M to $710MJan 6, 2025 to Feb 4, 2025
- Accounts · 1,190 to 1,293Feb 3, 2023 to Feb 8, 2024
- HNW clients · 114 to 119Feb 3, 2023 to Feb 8, 2024
- Individual clients · 394 to 419Feb 3, 2023 to Feb 8, 2024
- Assets in custody · $125M to $142MFeb 3, 2023 to Feb 8, 2024
- Discretionary RAUM · $354M to $445MFeb 3, 2023 to Feb 8, 2024
- HNW RAUM · $432M to $521MFeb 3, 2023 to Feb 8, 2024
- Individual RAUM · $80.1M to $96.7MFeb 3, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $162M to $177MFeb 3, 2023 to Feb 8, 2024
- Pension RAUM · $3.4M to $3.4MFeb 3, 2023 to Feb 8, 2024
- RAUM · $516M to $622MFeb 3, 2023 to Feb 8, 2024
- Accounts · 1,128 to 1,190Dec 7, 2022 to Feb 3, 2023
- HNW clients · 110 to 114Dec 7, 2022 to Feb 3, 2023
- Individual clients · 378 to 394Dec 7, 2022 to Feb 3, 2023
- Assets in custody · $138M to $125MDec 7, 2022 to Feb 3, 2023
- Discretionary RAUM · $386M to $354MDec 7, 2022 to Feb 3, 2023
- HNW RAUM · $538M to $432MDec 7, 2022 to Feb 3, 2023
- Individual RAUM · $86.0M to $80.1MDec 7, 2022 to Feb 3, 2023
- Non-discretionary RAUM · $244M to $162MDec 7, 2022 to Feb 3, 2023
- Pension RAUM · $5.0M to $3.4MDec 7, 2022 to Feb 3, 2023
Signals
1 dated events
- A• I••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Oct 17, 2012 · 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
- Principal office phone
- 423-486-1888reportedpublic record, Form ADV, Feb 11, 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
- $369Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026