DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E•••• A•••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Mar 28, 2024 · 6 filings
SEC status approved since Apr 26, 2024
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.0%
$9.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$187M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$187M as of Mar 20, 2026
Mar 29, 2025$203M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Mar 29, 20251 then
Employees (5.A)4 as of Mar 20, 2026
Mar 29, 20251 then
Private funds: no history
RAUM -7.7% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $187MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +183%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$176M94%
- Individuals$9.4M5.0%
- Charitable organizations$1.3M0.7%
- Corporations and businesses$824,0830.4%
- Individual clients
- 17reported
- HNW clients
- 0reported
- Pension plan clients
- 117reported
- Charitable clients
- 1reported
- Accounts
- 146reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.05 fund_share=0.0 institutional_share=0.95 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• S•••• P••••••• | Brentwood, Tn | May 24, 2024 | 34 y | 2 |
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
- R•••••• S•••• P••••••• from D•• F•••••••• P•••••••• L•••May 2, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• R••••••• S•••• · President/Chief Compliance Officercontrolsince 01/2014 · owns less than 5%
- P•••••••• R••••••• S•••• · Shareholdercontrolsince 10/2017 · owns 75% or more of E•••• C•••••••••
Entity owners
- E•••• C••••••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- E•••• P•••••••• I•••LP sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 136 to 146Mar 29, 2025 to Mar 20, 2026
- Corporate clients · 0 to 1Mar 29, 2025 to Mar 20, 2026
- Individual clients · 6 to 17Mar 29, 2025 to Mar 20, 2026
- Pension plan clients · 111 to 117Mar 29, 2025 to Mar 20, 2026
- Employees · 1 to 4Mar 29, 2025 to Mar 20, 2026
- Discretionary RAUM · $203M to $187MMar 29, 2025 to Mar 20, 2026
- Individual RAUM · $8.1M to $9.4MMar 29, 2025 to Mar 20, 2026
- Pension RAUM · $193M to $176MMar 29, 2025 to Mar 20, 2026
- RAUM · $203M to $187MMar 29, 2025 to Mar 20, 2026
- Accounts · 101 to 136Apr 25, 2024 to Mar 29, 2025
- Pension plan clients · 92 to 111Apr 25, 2024 to Mar 29, 2025
- Financial planning clients · unset to Apr 25, 2024 to Mar 29, 2025
- Discretionary RAUM · $146M to $203MApr 25, 2024 to Mar 29, 2025
- HNW RAUM · 0.0 to unsetApr 25, 2024 to Mar 29, 2025
- Individual RAUM · $2.5M to $8.1MApr 25, 2024 to Mar 29, 2025
- Pension RAUM · $141M to $193MApr 25, 2024 to Mar 29, 2025
- RAUM · $146M to $203MApr 25, 2024 to Mar 29, 2025
Signals
1 dated events
- E•••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 28, 2024 · 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
- E••••ADVISERS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (855) 255-2391reportedpublic record, Form ADV, Mar 20, 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
- $187Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026