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.

Former SEC-registered adviser

Center Street Advisors, Inc.

Former SEC-registered adviserNashville, TennesseeCRD 169329SEC 801-80344IAPD
Latest filing Mar 31, 2023
First filing on the tape Sep 9, 2014 · 36 filings
RAUM
$336M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$260M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
45
40 advisory (5.B.1)
Offices
44
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$336M as of Mar 31, 2023
Feb 16, 2016$0 then
HNW client RAUM$3.2M as of Mar 29, 2019
Mar 30, 2018$4.0M then
State-registered IARs (5.B.3)45 as of Mar 31, 2023
Feb 18, 20155 then
Employees (5.A)45 as of Mar 31, 2023
Feb 18, 20158 then
Private funds: no history
RAUM -13% over the last fiscal year+31% a year over threeIARs 52 to 45
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$7.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$198,938derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived45 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
-19%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program
$98.5MreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$260M77%
  • Corporations and businesses$75.4M22%
  • Charitable organizations$475,6300.1%
Individual clients
1,672reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,689reported
Financial planning clients
11-25reported
Wrap fee programs
$98.5M sponsored, $0 managedreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Unbo Chung · Chief Compliance Officercontrol
    since 12/2021 · owns less than 5%
  • Carl David Hock · Directorcontrol
    since 01/2021 · owns less than 5%
  • Dean Joshua Rogers · President, Directorcontrol
    since 12/2022 · owns less than 5%
  • Faulk Davis Corrie Scoby · Senior Director, Compliance
    since 01/2021 · owns less than 5%
Entity owners
  • Center Street Holdings, Inc. · Corporation
    direct · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Chattanooga, Tn000
Frankfort, Il000
Lake Oswego, Or000
Nashville, Tn · principal000
Offices
Schedule D 1.F, the 25 largest
  • St Peters, MO5 employees
  • Knoxville, TN3 employees
  • Bristol, VA2 employees
  • Mesa, AZ2 employees
  • Frankfort, IL2 employees
  • , 1 employees
  • Woodstock, GA1 employees
  • Cumming, GA1 employees
  • Escondido, CA1 employees
  • , 1 employees
  • Charlotte, NC1 employees
  • St Peters, MO1 employees
  • Vestavia Hills, AL1 employees
  • Stratford, CT1 employees
  • Brentwood, TN1 employees
  • Defuniak Springs, FL1 employees
  • Troy, MO1 employees
  • Charleston, SC1 employees
  • , 1 employees
  • Gatlinburg, TN1 employees
  • Gilbert, AZ1 employees
  • Henderson, NV1 employees
  • Honea Path, SC1 employees
  • Lodi, CA1 employees
  • Merritt Island, FL1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,072 to 1,689
    Apr 27, 2022 to Mar 31, 2023
  • Advisory employees · 52 to 40
    Apr 27, 2022 to Mar 31, 2023
  • BD registered reps · 41 to 36
    Apr 27, 2022 to Mar 31, 2023
  • Individual clients · 2,055 to 1,672
    Apr 27, 2022 to Mar 31, 2023
  • Employees · 52 to 45
    Apr 27, 2022 to Mar 31, 2023
  • State-registered IARs · 52 to 45
    Apr 27, 2022 to Mar 31, 2023
  • Discretionary RAUM · $384M to $336M
    Apr 27, 2022 to Mar 31, 2023
  • Individual RAUM · $336M to $260M
    Apr 27, 2022 to Mar 31, 2023
  • RAUM · $384M to $336M
    Apr 27, 2022 to Mar 31, 2023
  • Wrap assets (sponsor) · $128M to $98.5M
    Apr 27, 2022 to Mar 31, 2023
  • Wrap assets (manager) · unset to 0.0
    Apr 4, 2022 to Apr 27, 2022
  • Wrap assets (sponsor) · unset to 127798334.0
    Apr 4, 2022 to Apr 27, 2022
  • Accounts · 1,436 to 2,072
    Feb 4, 2022 to Mar 31, 2022
  • Advisory employees · 53 to 52
    Feb 4, 2022 to Mar 31, 2022
  • Corporate clients · 18 to 16
    Feb 4, 2022 to Mar 31, 2022
  • Individual clients · 1,422 to 2,055
    Feb 4, 2022 to Mar 31, 2022
  • Employees · 53 to 52
    Feb 4, 2022 to Mar 31, 2022
  • Financial planning clients · 26-50 to 11-25
    Feb 4, 2022 to Mar 31, 2022
  • State-registered IARs · 53 to 52
    Feb 4, 2022 to Mar 31, 2022
  • Discretionary RAUM · $198M to $384M
    Feb 4, 2022 to Mar 31, 2022
  • Individual RAUM · $184M to $336M
    Feb 4, 2022 to Mar 31, 2022
  • RAUM · $198M to $384M
    Feb 4, 2022 to Mar 31, 2022
  • Related adviser · true to false
    Feb 4, 2022 to Mar 31, 2022
  • Accounts · 1,210 to 1,436
    Feb 2, 2021 to Mar 30, 2021
  • Advisory employees · 59 to 53
    Feb 2, 2021 to Mar 30, 2021
  • BD registered reps · 48 to 41
    Feb 2, 2021 to Mar 30, 2021
  • Corporate clients · 15 to 18
    Feb 2, 2021 to Mar 30, 2021
  • Individual clients · 1,195 to 1,422
    Feb 2, 2021 to Mar 30, 2021
  • Employees · 60 to 53
    Feb 2, 2021 to Mar 30, 2021
  • Financial planning clients · 51-100 to 26-50
    Feb 2, 2021 to Mar 30, 2021
  • State-registered IARs · 59 to 53
    Feb 2, 2021 to Mar 30, 2021
  • Other offices · 50 to 44
    Feb 2, 2021 to Mar 30, 2021
  • Discretionary RAUM · $28.4M to $198M
    Feb 2, 2021 to Mar 30, 2021
  • Individual RAUM · $137M to $184M
    Feb 2, 2021 to Mar 30, 2021
  • Non-discretionary RAUM · $121M to $0
    Feb 2, 2021 to Mar 30, 2021
  • RAUM · $150M to $198M
    Feb 2, 2021 to Mar 30, 2021
  • Accounts · 728 to 1,210
    Oct 24, 2019 to Mar 26, 2020
  • Advisory employees · 66 to 59
    Oct 24, 2019 to Mar 26, 2020
  • BD registered reps · 45 to 48
    Oct 24, 2019 to Mar 26, 2020
  • Corporate clients · 10 to 15
    Oct 24, 2019 to Mar 26, 2020
Signals
60 dated events
  • Kenneth James New left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-10-12)
    Nov 16, 2023 · Advisor changed firm · fact
  • David Alexander Narish left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2026-01-05)
    Nov 16, 2023 · Advisor changed firm · fact
  • Anthony Michael Hanley left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-01-31)
    Nov 16, 2023 · Advisor changed firm · fact
  • Morgan Darby Hill left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-03-31)
    Nov 16, 2023 · Advisor changed firm · fact
  • David Carl Hock no longer registered at Center Street Advisors, Inc.; no later IA registration on IAPD
    Nov 16, 2023 · Advisor departure · fact
  • Darryl Jerome Fyall left Center Street Advisors, Inc. for Pruco Securities, Llc (registered 2023-10-10)
    Nov 14, 2023 · Advisor changed firm · fact
  • Scott Eric Beaty left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-04-03)
    Nov 8, 2023 · Advisor changed firm · fact
  • Center Street Advisors, Inc.'s advisors moved to Arete Wealth Advisors, LLC (Nashville, TN): 4 of 7 registered, within 8 days
    Nov 8, 2023 · Firm absorbed (people side) · derived
  • Robin Michael Slaughter left Center Street Advisors, Inc. for Royal Fund Management, Llc (registered 2026-01-09)
    Aug 31, 2023 · Advisor changed firm · fact
  • Roy Alvin Williams left Center Street Advisors, Inc. for Kcd Financial, Inc. (registered 2023-08-23)
    Aug 7, 2023 · Advisor changed firm · fact
  • Thomas Samuel Lisk left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-07-13)
    Jul 13, 2023 · Advisor changed firm · fact
  • Kurt Walter Sergiewich left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-07-12)
    Jul 12, 2023 · Advisor changed firm · fact
  • David Kent Prewette left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-04-04)
    Jul 12, 2023 · Advisor changed firm · fact
  • Daniel Joseph Roemerman left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-07-12)
    Jul 12, 2023 · Advisor changed firm · fact
  • Christopher Brian Jones left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-07-20)
    Jul 11, 2023 · Advisor changed firm · fact
  • 3 advisors left Center Street Advisors, Inc. (ST Louis, MO) for Arete Wealth Advisors, LLC a day apart
    Jul 11, 2023 · Team lift-out · derived
  • Amy White Widener left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-06-27)
    Jun 27, 2023 · Advisor changed firm · fact
  • James Joseph Toddy left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-04-20)
    Jun 27, 2023 · Advisor changed firm · fact
  • Billy James Aycock left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2021-03-10)
    Jun 27, 2023 · Advisor changed firm · fact
  • Charles Gregory Majors left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-04-18)
    Jun 27, 2023 · Advisor changed firm · fact
  • Kevin James Leblanc left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-03-31)
    Jun 22, 2023 · Advisor changed firm · fact
  • Michael Martin Mirich left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-03-31)
    Jun 22, 2023 · Advisor changed firm · fact
  • 2 advisors left Center Street Advisors, Inc. (Naples, FL) for Arete Wealth Advisors, LLC within 5 days
    Jun 22, 2023 · Team lift-out · derived
  • Timothy Michael Eckel left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-04-03)
    Jun 21, 2023 · Advisor changed firm · fact
  • Tiffany Coyle Noto left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-06-16)
    Jun 16, 2023 · Advisor changed firm · fact
  • Joshua Thornhill left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-04-03)
    Jun 16, 2023 · Advisor changed firm · fact
  • Paul Clayton Conner left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-06-20)
    Jun 16, 2023 · Advisor changed firm · fact
  • Kelsey Andrea Narish left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-03-31)
    Jun 13, 2023 · Advisor changed firm · fact
  • Richard Scott Toban left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-03-31)
    Jun 13, 2023 · Advisor changed firm · fact
  • David Lee Roberts left Center Street Advisors, Inc. for Arete Wealth Advisors, Llc (registered 2023-04-20)
    Jun 13, 2023 · Advisor changed firm · 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