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

C•••••••• I•••••••• L••

Former SEC-registered adviserFranklin, TennesseeCRD 168798SEC 801-78769IAPD
Latest filing Oct 5, 2020
First filing on the tape Oct 29, 2013 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 30, 2020
Mar 31, 2019$0 then
State-registered IARs (5.B.3)4 as of Mar 30, 2020
Mar 10, 20142 then
Employees (5.A)4 as of Mar 30, 2020
Mar 10, 20144 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Oct 5, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 assets, fixed feesreportedItem 5.E
Advisory activities
selection of other advisers, educational seminars, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••••• T••••••• J••• · Ceo, Managing Membercontrol
    since 09/2013 · owns less than 5%
  • V••••••• P•••••• J•••• · President & Coo & Ccocontrol
    since 02/2014 · owns less than 5%
  • P•••••••• T••••••• J••• · Managing Membercontrol
    since 06/2014 · owns 50% to 75% of C•••••••• G••••• L••
Entity owners
  • C•••••••• G••••• L•• · Partnership
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HNW clients · 5 to 1
    Mar 24, 2020 to Mar 30, 2020
  • Employees · 5 to 4
    Mar 24, 2020 to Mar 30, 2020
  • Advisory activities · 4 to 3
    Mar 30, 2018 to Mar 31, 2019
  • BD registered reps · 4 to 0
    Mar 30, 2018 to Mar 31, 2019
  • HNW clients · unset to 5.0
    Mar 30, 2018 to Mar 31, 2019
  • Insurance-licensed employees · 4 to 0
    Mar 30, 2018 to Mar 31, 2019
  • HNW RAUM · unset to 0.0
    Mar 30, 2018 to Mar 31, 2019
  • Related broker-dealer · true to false
    Mar 30, 2018 to Mar 31, 2019
  • Other offices · unset to 0.0
    Mar 1, 2017 to Mar 30, 2018
  • Advisory employees · 3 to 4
    Oct 26, 2016 to Mar 1, 2017
  • BD registered reps · 3 to 4
    Oct 26, 2016 to Mar 1, 2017
  • Employees · 4 to 5
    Oct 26, 2016 to Mar 1, 2017
  • Insurance-licensed employees · 3 to 4
    Oct 26, 2016 to Mar 1, 2017
  • State-registered IARs · 3 to 4
    Oct 26, 2016 to Mar 1, 2017
  • Advisory employees · 2 to 3
    Sep 25, 2015 to Feb 4, 2016
  • Insurance-licensed employees · 2 to 3
    Sep 25, 2015 to Feb 4, 2016
  • State-registered IARs · 2 to 3
    Sep 25, 2015 to Feb 4, 2016
  • Accounts · 0.0 to unset
    Jun 27, 2014 to Feb 17, 2015
  • BD registered reps · 2 to 3
    Jun 27, 2014 to Feb 17, 2015
  • Employees · 3 to 4
    Jun 27, 2014 to Feb 17, 2015
  • Discretionary RAUM · 0.0 to unset
    Jun 27, 2014 to Feb 17, 2015
  • Non-discretionary RAUM · 0.0 to unset
    Jun 27, 2014 to Feb 17, 2015
  • RAUM · 0.0 to unset
    Jun 27, 2014 to Feb 17, 2015
  • BD registered reps · 3 to 2
    Mar 10, 2014 to Jun 27, 2014
  • Employees · 4 to 3
    Mar 10, 2014 to Jun 27, 2014
  • Advisory employees · 3 to 2
    Nov 5, 2013 to Mar 10, 2014
  • Employees · 5 to 4
    Nov 5, 2013 to Mar 10, 2014
  • Insurance-licensed employees · 3 to 2
    Nov 5, 2013 to Mar 10, 2014
  • Financial planning clients · unset to 0
    Nov 5, 2013 to Mar 10, 2014
  • State-registered IARs · 3 to 2
    Nov 5, 2013 to Mar 10, 2014
  • Business name · W•••••••• F•••••••• S••••••••• L•• to C•••••••• I•••••••• L••
    Oct 29, 2013 to Nov 5, 2013
  • Legal name · W•••••••• F•••••••• S••••••••• L•• to C•••••••• I•••••••• L••
    Oct 29, 2013 to Nov 5, 2013
Signals
1 dated events
  • W•••••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 29, 2013 · 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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026