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
W••••• P••••••••• A•••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Apr 19, 2013 · 36 filings
SEC status approved since May 10, 2013
RAUM
$592M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$592M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$296M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$592M as of Mar 10, 2026
Mar 21, 2014$125M then
HNW client RAUM$472M as of Mar 10, 2026
Jan 10, 2018$223M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 21, 20143 then
Employees (5.A)3 as of Mar 10, 2026
Mar 21, 20143 then
Private funds: no history
RAUM +10% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 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
- $296MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 165derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $598,830derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $290M, 405 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$472M80%
- Individuals$119M20%
- Individual clients
- 222reported
- HNW clients
- 108reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 988reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $290M for 405 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| N••• K•••••• S•••••• | Chattanooga, Tn | Feb 4, 2014 | 27 y | 2 |
| G••• R•• R••• | Chattanooga, Tn | Mar 28, 2014 | 28 y | 6 |
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
- G••• R•• R••• from M••••• S••••••Mar 28, 2014 · Other
- N••• K•••••• S•••••• from M••••• S••••••Feb 4, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• N•••• K•••••• · Chief Compliance Officercontrolsince 03/2014 · owns less than 5%
- R•••• G•••• R•• · Managing Membercontrolsince 07/2014 · owns 75% or more of H•• E••••••••• L••
Entity owners
- H•• E••••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| 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 · 1,024 to 988Mar 18, 2025 to Mar 10, 2026
- HNW clients · 85 to 108Mar 18, 2025 to Mar 10, 2026
- Individual clients · 230 to 222Mar 18, 2025 to Mar 10, 2026
- Assets in custody · $222M to $290MMar 18, 2025 to Mar 10, 2026
- Discretionary RAUM · $513M to $575MMar 18, 2025 to Mar 10, 2026
- HNW RAUM · $455M to $472MMar 18, 2025 to Mar 10, 2026
- Individual RAUM · $81.1M to $119MMar 18, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $23.0M to $16.7MMar 18, 2025 to Mar 10, 2026
- RAUM · $536M to $592MMar 18, 2025 to Mar 10, 2026
- Accounts · 1,009 to 1,024Mar 25, 2024 to Mar 18, 2025
- HNW clients · 90 to 85Mar 25, 2024 to Mar 18, 2025
- Individual clients · 233 to 230Mar 25, 2024 to Mar 18, 2025
- Assets in custody · unset to 221748793.0Mar 25, 2024 to Mar 18, 2025
- Custody of client assets · false to trueMar 25, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 18, 2025
- Discretionary RAUM · $439M to $513MMar 25, 2024 to Mar 18, 2025
- HNW RAUM · $367M to $455MMar 25, 2024 to Mar 18, 2025
- Individual RAUM · $113M to $81.1MMar 25, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $40.3M to $23.0MMar 25, 2024 to Mar 18, 2025
- RAUM · $480M to $536MMar 25, 2024 to Mar 18, 2025
- Accounts · 921 to 1,009May 18, 2023 to Mar 25, 2024
- Advisory employees · 5 to 2May 18, 2023 to Mar 25, 2024
- HNW clients · 65 to 90May 18, 2023 to Mar 25, 2024
- Individual clients · 235 to 233May 18, 2023 to Mar 25, 2024
- Employees · 5 to 3May 18, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 0May 18, 2023 to Mar 25, 2024
- Discretionary RAUM · $368M to $439MMay 18, 2023 to Mar 25, 2024
- HNW RAUM · $275M to $367MMay 18, 2023 to Mar 25, 2024
- Individual RAUM · $114M to $113MMay 18, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $20.9M to $40.3MMay 18, 2023 to Mar 25, 2024
- RAUM · $388M to $480MMay 18, 2023 to Mar 25, 2024
- Accounts · 825 to 921Jun 2, 2022 to Mar 24, 2023
- HNW clients · 210 to 65Jun 2, 2022 to Mar 24, 2023
- Individual clients · 37 to 235Jun 2, 2022 to Mar 24, 2023
- Assets in custody · 241251969.0 to unsetJun 2, 2022 to Mar 24, 2023
- Custody of client assets · true to falseJun 2, 2022 to Mar 24, 2023
- Financial planning clients · 0 to 1-10Jun 2, 2022 to Mar 24, 2023
- State-registered IARs · 4 to 2Jun 2, 2022 to Mar 24, 2023
- Discretionary RAUM · $373M to $368MJun 2, 2022 to Mar 24, 2023
- HNW RAUM · $360M to $275MJun 2, 2022 to Mar 24, 2023
Signals
3 dated events
- Edward Todd Phillips (Managing Member) no longer on Schedule A of W••••• P••••••••• A•••••••• L•• (listed 2022-03-21, absent 2022-05-27)May 27, 2022 · Control person left · inference
- Noon John Foy (Managing Member) no longer on Schedule A of W••••• P••••••••• A•••••••• L•• (listed 2022-03-21, absent 2022-05-27)May 27, 2022 · Control person left · inference
- N••• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 19, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••• P••••••••• A•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 423-486-9400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 423-486-9402reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- WPAFINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 423-486-9400reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- WPAFINANCIAL.COM/contactreportedpublished by the firm, firm site, Sep 15, 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
- $296Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026