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
D••••••••• C•••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 28, 2019 · 18 filings
SEC status approved since Apr 29, 2019
RAUM
$3.1B
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
0.8%
$23.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$1.0B
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.1B as of Mar 18, 2026
Feb 24, 2020$364M then
HNW client RAUM$22.0M as of Mar 18, 2026
Feb 24, 2020$3.7M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Feb 24, 20203 then
Employees (5.A)11 as of Mar 18, 2026
Feb 24, 20206 then
Private funds: no history
RAUM +29% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $1.0BderivedRAUM 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
- $54.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $1.3B, 15 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$2.7B88%
- State and municipal entities$220M7.2%
- Pension and profit-sharing plans$114M3.7%
- High-net-worth individuals$22.0M0.7%
- Individuals$1.7M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 21reported
- Accounts
- 56reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 15 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.99 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• J•••• T•••••••• | Nashville, Tn | Nov 17, 2015 | 12 y | 0 |
| M•••••• W• W•••••Chartered Financial Analyst | Nashville, Tn | Nov 18, 2015 | 13 y | 0 |
| J••••• D••• W••••••• | Nashville, Tn | Nov 24, 2020 | 18 y | 1 |
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
- J••••• D••• W••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 24, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• R•••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- W•••••• M••••••• W• · President/Chief Investment Officercontrolsince 02/2013 · owns less than 5%
- W•••••• M••••••• W• · Managing Member, Presidentcontrolsince 01/2013 · owns 50% to 75% of D••••••••• G•••• L••
Entity owners
- D••••••••• G•••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 51 to 56Jul 16, 2025 to Mar 18, 2026
- Advisory employees · 7 to 6Jul 16, 2025 to Mar 18, 2026
- Charity clients · 19 to 21Jul 16, 2025 to Mar 18, 2026
- Assets in custody · $1.2B to $1.3BJul 16, 2025 to Mar 18, 2026
- Employees · 12 to 11Jul 16, 2025 to Mar 18, 2026
- Financial planning clients · 0 to Jul 16, 2025 to Mar 18, 2026
- Discretionary RAUM · $2.0B to $2.7BJul 16, 2025 to Mar 18, 2026
- HNW RAUM · $18.1M to $22.0MJul 16, 2025 to Mar 18, 2026
- Individual RAUM · $2.8M to $1.7MJul 16, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $382M to $402MJul 16, 2025 to Mar 18, 2026
- Pension RAUM · $99.4M to $114MJul 16, 2025 to Mar 18, 2026
- RAUM · $2.4B to $3.1BJul 16, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Jun 4, 2025 to Jul 16, 2025
- Accounts · 50 to 51Feb 19, 2025 to Mar 28, 2025
- Advisory employees · 5 to 7Feb 19, 2025 to Mar 28, 2025
- Charity clients · 20 to 19Feb 19, 2025 to Mar 28, 2025
- Assets in custody · $1.1B to $1.2BFeb 19, 2025 to Mar 28, 2025
- Employees · 10 to 12Feb 19, 2025 to Mar 28, 2025
- Discretionary RAUM · $1.9B to $2.0BFeb 19, 2025 to Mar 28, 2025
- HNW RAUM · $10.6M to $18.1MFeb 19, 2025 to Mar 28, 2025
- Individual RAUM · $1.8M to $2.8MFeb 19, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $353M to $382MFeb 19, 2025 to Mar 28, 2025
- Pension RAUM · $90.8M to $99.4MFeb 19, 2025 to Mar 28, 2025
- RAUM · $2.3B to $2.4BFeb 19, 2025 to Mar 28, 2025
- Accounts · 39 to 50Jul 27, 2023 to Mar 20, 2024
- Advisory employees · 7 to 5Jul 27, 2023 to Mar 20, 2024
- Charity clients · 18 to 20Jul 27, 2023 to Mar 20, 2024
- HNW clients · 5.0 to unsetJul 27, 2023 to Mar 20, 2024
- Assets in custody · $854M to $1.1BJul 27, 2023 to Mar 20, 2024
- Employees · 9 to 10Jul 27, 2023 to Mar 20, 2024
- State-registered IARs · 4 to 3Jul 27, 2023 to Mar 20, 2024
- Other offices · 0 to 2Jul 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $1.8B to $1.9BJul 27, 2023 to Mar 20, 2024
- HNW RAUM · $10.6M to $10.6MJul 27, 2023 to Mar 20, 2024
- Individual RAUM · $532,183 to $1.8MJul 27, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $76.0M to $353MJul 27, 2023 to Mar 20, 2024
- Pension RAUM · $239M to $90.8MJul 27, 2023 to Mar 20, 2024
- RAUM · $1.8B to $2.3BJul 27, 2023 to Mar 20, 2024
- Assets in custody · unset to 854040585.0Mar 28, 2023 to Jul 27, 2023
- Custody of client assets · false to trueMar 28, 2023 to Jul 27, 2023
Signals
5 dated events
- D••••••••• C•••••• M••••••••• L•• reported RAUM $3.1B, up 29% from $2.4B (2025-07-16 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- Reema Keen (Chief Compliance Officer) appeared on Schedule A of D••••••••• C•••••• M••••••••• L••Mar 28, 2023 · Control person joined · fact
- D••••••••• C•••••• M••••••••• L•• reported RAUM $1.6B, up 219% from $516.2M (2021-03-20 to 2022-03-01)Mar 1, 2022 · RAUM change · derived
- D••••••••• C•••••• M••••••••• L•• reported RAUM $516.2M, up 42% from $364.2M (2020-12-01 to 2021-03-20)Mar 20, 2021 · RAUM change · derived
- D••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2019 · 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
- Website
- disciplina.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 615-490-6003reportedpublic record, Form ADV, Mar 18, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026