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.

SEC-registered adviser

Luken Investment Analytics, LLC

Independent wealth managerBrentwood, TennesseeCRD 169008SEC 801-112496website IAPD

Latest filing May 21, 2026

First filing on the tape Jan 24, 2018 · 24 filings

SEC status approved since Feb 23, 2018

RAUM

$292M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$288M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$73.0M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$292M as of May 21, 2026

Mar 6, 2018$97.7M then

HNW client RAUM$239M as of May 21, 2026

Mar 6, 2018$95.4M then

State-registered IARs (5.B.3)4 as of May 21, 2026

Mar 6, 20182 then

Employees (5.A)6 as of May 21, 2026

Mar 6, 20186 then

Private funds: no history

RAUM +23% over the last fiscal year+16% a year over threeIARs 5 to 4

Practice profile

derived from the filing of May 21, 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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $73.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 67derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.9MderivedHNW RAUM over HNW clients
Average account: $439,994derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: -20%derivedItem 5.B.3 between annual amendments
Client growth, one year: +14%derived
Compensation: percentage of assets, subscription, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, publicationsreportedItem 5.G
Wrap fee program: $289MreportedItem 5.I
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

High-net-worth individuals$239M82%
Individuals$48.6M17%
Pension and profit-sharing plans$2.8M1.0%
Corporations and businesses$1.8M0.6%
Charitable organizations$14,3600.0%

Individual clients: 184reported
HNW clients: 83reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 664reported
Financial planning clients: 1-10reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived

Advisors registered through the firm

4 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Carri M Sanford	Nashville, Tn	Sep 22, 2011	29 y	0
Gregory Lee Luken	Brentwood, Tn	Nov 1, 2017	37 y	1
Mary Hannah O'LearyChartered Financial Consultant	Brentwood, Tn	Jul 23, 2018	11 y	0
Jackson Andrew HornsbyCertified Financial Planner	Brentwood, Tn	Sep 19, 2024	15 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 headcount2 left over 36 months

Left, latest

Sarah Ann Terrell to Westminster Financial Advisory Corp
Jul 8, 2025 · RIA to RIA
Joseph Vito Affatigato to Transamerica Retirement Advisors, LLC
Sep 18, 2024 · RIA to affiliated broker-dealer or bank
Christian Blaise Sarver to Cuna Brokerage Services, Inc.
Oct 20, 2020 · RIA to affiliated broker-dealer or bank

Joined, latest

Jackson Andrew Hornsby from Wells Fargo Advisors
Sep 19, 2024 · Wirehouse to independent RIA
Sarah Ann Terrell from Kraft Asset Management, LLC
Jan 17, 2024 · RIA to RIA
Christian Blaise Sarver from Edward Jones
May 6, 2019 · Affiliated broker-dealer or bank to independent RIA
Gregory Lee Luken from Sii Investments, Inc.
Nov 1, 2017 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Lee Gregory Luken · Presidentcontrol
since 05/2013 · owns 75% or more
M Carri Sanford · Chief Compliance Officer
since 02/2017 · owns less than 5%

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
Brentwood, Tn · principal	4	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 583 to 664
Mar 28, 2025 to Mar 26, 2026
Advisory employees · 5 to 4
Mar 28, 2025 to Mar 26, 2026
HNW clients · 75 to 83
Mar 28, 2025 to Mar 26, 2026
Individual clients · 159 to 184
Mar 28, 2025 to Mar 26, 2026
State-registered IARs · 5 to 4
Mar 28, 2025 to Mar 26, 2026
Discretionary RAUM · $236M to $292M
Mar 28, 2025 to Mar 26, 2026
HNW RAUM · $193M to $239M
Mar 28, 2025 to Mar 26, 2026
Individual RAUM · $37.4M to $48.6M
Mar 28, 2025 to Mar 26, 2026
Non-discretionary RAUM · $578,052 to $32,102
Mar 28, 2025 to Mar 26, 2026
Pension RAUM · $2.5M to $2.8M
Mar 28, 2025 to Mar 26, 2026
RAUM · $237M to $292M
Mar 28, 2025 to Mar 26, 2026
Accounts · 519 to 583
Dec 4, 2024 to Mar 28, 2025
HNW clients · 69 to 75
Dec 4, 2024 to Mar 28, 2025
Individual clients · 113 to 159
Dec 4, 2024 to Mar 28, 2025
Financial planning clients · 1-10 to 1-10
Dec 4, 2024 to Mar 28, 2025
Discretionary RAUM · $201M to $236M
Dec 4, 2024 to Mar 28, 2025
HNW RAUM · $162M to $193M
Dec 4, 2024 to Mar 28, 2025
Individual RAUM · $37.3M to $37.4M
Dec 4, 2024 to Mar 28, 2025
Non-discretionary RAUM · $31,539 to $578,052
Dec 4, 2024 to Mar 28, 2025
Pension RAUM · $2.0M to $2.5M
Dec 4, 2024 to Mar 28, 2025
RAUM · $201M to $237M
Dec 4, 2024 to Mar 28, 2025
Accounts · 447 to 519
Mar 29, 2023 to Mar 29, 2024
Advisory employees · 3 to 5
Mar 29, 2023 to Mar 29, 2024
Advisory activities · 4 to 3
Mar 29, 2023 to Mar 29, 2024
Corporate clients · 0.0 to unset
Mar 29, 2023 to Mar 29, 2024
HNW clients · 34 to 69
Mar 29, 2023 to Mar 29, 2024
Individual clients · 106 to 113
Mar 29, 2023 to Mar 29, 2024
Employees · 5 to 6
Mar 29, 2023 to Mar 29, 2024
State-registered IARs · 3 to 5
Mar 29, 2023 to Mar 29, 2024
Discretionary RAUM · $189M to $201M
Mar 29, 2023 to Mar 29, 2024
HNW RAUM · $88.8M to $162M
Mar 29, 2023 to Mar 29, 2024
Individual RAUM · $62.5M to $37.3M
Mar 29, 2023 to Mar 29, 2024
Non-discretionary RAUM · $74,251 to $31,539
Mar 29, 2023 to Mar 29, 2024
Pension RAUM · $1.8M to $2.0M
Mar 29, 2023 to Mar 29, 2024
RAUM · $189M to $201M
Mar 29, 2023 to Mar 29, 2024
Accounts · 401 to 447
Oct 26, 2022 to Mar 29, 2023
Advisory employees · 5 to 3
Oct 26, 2022 to Mar 29, 2023
BD registered reps · 2 to 1
Oct 26, 2022 to Mar 29, 2023
Discretionary RAUM · $229M to $189M
Oct 26, 2022 to Mar 29, 2023
HNW RAUM · $108M to $88.8M
Oct 26, 2022 to Mar 29, 2023

Signals

3 dated events

Sarah Ann Terrell left Luken Investment Analytics, Llc for Westminster Financial Advisory Corp (registered 2025-09-17)
Jul 8, 2025 · Advisor changed firm · fact
Joseph Vito Affatigato left Luken Investment Analytics, Llc for Transamerica Retirement Advisors, Llc (registered 2025-03-20)
Sep 18, 2024 · Advisor changed firm · fact
Luken Investment Analytics, Llc filed its initial SEC registration (Form ADV)
Jan 24, 2018 · 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

Business email: service@luken.proreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 615-550-5570reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/lukenteamreportedpublic record, Form ADV, Sep 17, 2026
Website: LUKEN.PROreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: (615) 550-5570reportedpublic record, Form ADV, May 21, 2026
Contact form: luken.pro/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: $73.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026