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

R••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserMurfreesboro, TennesseeCRD 166609SEC 801-81099IAPD
Latest filing Jun 20, 2022
First filing on the tape Mar 3, 2015 · 16 filings
RAUM
$54.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
13%
$7.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$54.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$54.7M as of Mar 28, 2022
Mar 28, 2016$267M then
HNW client RAUM$0 as of Mar 28, 2022
Mar 22, 2018$1.0M then
State-registered IARs (5.B.3)1 as of Mar 28, 2022
Mar 28, 20162 then
Employees (5.A)1 as of Mar 28, 2022
Mar 28, 20162 then
Private funds: no history
RAUM -41% over the last fiscal year-16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 20, 2022; every figure names its basis
RAUM per advisor
$54.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$684,344derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
87%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-41%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-21%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 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
  • Pension and profit-sharing plans$47.8M87%
  • Individuals$7.0M13%
Individual clients
41reported
HNW clients
0reported
Pension plan clients
10reported
Charitable clients
0reported
Accounts
80reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L•••• E••••• C••••••Murfreesboro, TnJan 21, 202632 y5
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••• K•••••••• D••••• · Secretary/Treasurercontrol
      since 04/2013 · owns less than 5%
    • C••••••• L••••• E••••• · Managing Member/Chairman/Chief Executive Officer/Chief Compliance Officercontrol
      since 11/2012 · owns 75% or more
    Related persons
    Schedule D 7.A
    • F•••••••• C••••••••• G••••• I•••
      LP sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 98 to 80
      Mar 16, 2021 to Mar 28, 2022
    • Advisory activities · 6 to 5
      Mar 16, 2021 to Mar 28, 2022
    • Individual clients · 52 to 41
      Mar 16, 2021 to Mar 28, 2022
    • Pension plan clients · 15 to 10
      Mar 16, 2021 to Mar 28, 2022
    • Discretionary RAUM · $76.7M to $54.7M
      Mar 16, 2021 to Mar 28, 2022
    • Individual RAUM · $7.8M to $7.0M
      Mar 16, 2021 to Mar 28, 2022
    • Non-discretionary RAUM · $16.0M to $57,405
      Mar 16, 2021 to Mar 28, 2022
    • Pension RAUM · $84.9M to $47.8M
      Mar 16, 2021 to Mar 28, 2022
    • RAUM · $92.7M to $54.7M
      Mar 16, 2021 to Mar 28, 2022
    • Accounts · 111 to 98
      Jun 4, 2020 to Mar 15, 2021
    • Individual clients · 54 to 52
      Jun 4, 2020 to Mar 15, 2021
    • Pension plan clients · 19 to 15
      Jun 4, 2020 to Mar 15, 2021
    • Financial planning clients · 0 to unset
      Jun 4, 2020 to Mar 15, 2021
    • Discretionary RAUM · $90.7M to $76.7M
      Jun 4, 2020 to Mar 15, 2021
    • Individual RAUM · $8.5M to $7.8M
      Jun 4, 2020 to Mar 15, 2021
    • Non-discretionary RAUM · $0 to $16.0M
      Jun 4, 2020 to Mar 15, 2021
    • Pension RAUM · $78.6M to $84.9M
      Jun 4, 2020 to Mar 15, 2021
    • RAUM · $90.7M to $92.7M
      Jun 4, 2020 to Mar 15, 2021
    • Accounts · 119 to 111
      Mar 28, 2019 to Mar 24, 2020
    • Advisory employees · 2 to 1
      Mar 28, 2019 to Mar 24, 2020
    • Advisory activities · 7 to 6
      Mar 28, 2019 to Mar 24, 2020
    • Individual clients · 70 to 54
      Mar 28, 2019 to Mar 24, 2020
    • Pension plan clients · 22 to 19
      Mar 28, 2019 to Mar 24, 2020
    • Employees · 2 to 1
      Mar 28, 2019 to Mar 24, 2020
    • State-registered IARs · 2 to 1
      Mar 28, 2019 to Mar 24, 2020
    • Discretionary RAUM · $92.1M to $90.7M
      Mar 28, 2019 to Mar 24, 2020
    • Individual RAUM · $9.1M to $8.5M
      Mar 28, 2019 to Mar 24, 2020
    • Pension RAUM · $82.9M to $78.6M
      Mar 28, 2019 to Mar 24, 2020
    • RAUM · $92.1M to $90.7M
      Mar 28, 2019 to Mar 24, 2020
    • Accounts · 122 to 119
      Mar 22, 2018 to Mar 28, 2019
    • Advisory activities · 8 to 7
      Mar 22, 2018 to Mar 28, 2019
    • Charity clients · unset to 0.0
      Mar 22, 2018 to Mar 28, 2019
    • HNW clients · unset to 0.0
      Mar 22, 2018 to Mar 28, 2019
    • Individual clients · 71 to 70
      Mar 22, 2018 to Mar 28, 2019
    • Pension plan clients · 27 to 22
      Mar 22, 2018 to Mar 28, 2019
    • Financial planning clients · 1-10 to 0
      Mar 22, 2018 to Mar 28, 2019
    • Discretionary RAUM · $120M to $92.1M
      Mar 22, 2018 to Mar 28, 2019
    • HNW RAUM · $1.0M to $0
      Mar 22, 2018 to Mar 28, 2019
    • Individual RAUM · $8.9M to $9.1M
      Mar 22, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $12.7M to $0
      Mar 22, 2018 to Mar 28, 2019
    Signals
    2 dated events
    • Edward Benjamin Livingston (Vice President/Chief Investment Officer) no longer on Schedule A of R••••••••• C•••••• M••••••••• L•• (listed 2019-03-28, absent 2020-03-24)
      Mar 24, 2020 · Control person left · inference
    • R••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 3, 2015 · 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.
    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
    $54.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026