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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
K•• C•••••• M••••••••• I•••
Latest filing Apr 8, 2026
First filing on the tape Jun 16, 2022 · 21 filings
SEC status approved since Jul 15, 2022
RAUM
$393M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$389M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$32.7M
derived; firm RAUM over IAPD count
Employees
35
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$393M as of Apr 8, 2026
Mar 22, 2023$128M then
HNW client RAUM$113M as of Apr 8, 2026
Mar 22, 2023$23.0M then
State-registered IARs (5.B.3)9 as of Apr 8, 2026
Mar 22, 20235 then
Employees (5.A)35 as of Apr 8, 2026
Mar 22, 20235 then
Private funds: no history
RAUM +34% over the last fiscal year+46% a year over threeIARs 7 to 9offices 2 to 4
Practice profile
derived from the filing of Apr 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $32.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 167derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $169,084derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.9derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $37.1MreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$276M70%
- High-net-worth individuals$113M29%
- Pension and profit-sharing plans$4.2M1.1%
- Individual clients
- 1,937reported
- HNW clients
- 69reported
- Pension plan clients
- 12reported
- Charitable clients
- 0reported
- Accounts
- 2,324reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• P•••• W••• | Hendersonville, Tn | Apr 13, 2015 | 21 y | 2 |
| R••••• L•• B••••••••• | Hendersonville, Tn | Apr 17, 2020 | 14 y | 0 |
| H••••• J••••• H•••••Certified Financial Planner | Hendersonville, Tn | Nov 28, 2022 | 12 y | 0 |
| S•••••• D•••• A•••Certified Financial Planner | Hendersonville, Tn | Jan 2, 2023 | 11 y | 3 |
| J••••• J•••••• W•••• | Hendersonville, Tn | Mar 8, 2024 | 15 y | 2 |
| C••••••••• H•••••• L•••• | Hendersonville, Tn | Jun 6, 2024 | 11 y | 0 |
| J•••• M•••••• B••••• | Hendersonville, Tn | Aug 27, 2024 | 11 y | 0 |
| K•••• C•••••• | Hendersonville, Tn | Nov 19, 2025 | 11 y | 4 |
| J••••• B•••• Z•••• | Hendersonville, Tn | Dec 9, 2025 | 12 y | 1 |
| J•••• W•••• H••••••• | Hendersonville, Tn | Jan 1, 2026 | 12 y | 1 |
| S•••• J••••• S•••••• | Hendersonville, Tn | Feb 9, 2026 | 10 y | 0 |
| Z•••••• H•••• | Hendersonville, Tn | Mar 26, 2026 | 10 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- C•••••• R•••••• R•• to L•••• F••• A••••••• S•••••••Aug 26, 2025 · RIA to affiliated broker-dealer or bank
- A••••• H••••••• to S•••••••• A••••••• L••May 19, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• B••• M••••• to T•• G••••• A•••• M••••••••• L••Dec 21, 2022 · RIA to RIA
- W•••••• D••••• P••••••• to T•••• A•••••••• L••May 18, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Z•••••• H•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 26, 2026 · Wirehouse to independent RIA
- J•••• W•••• H••••••• from L•• E••••••••• L••Jan 1, 2026 · Other
- J••••• B•••• Z•••• from E•••••••• A•••••••• L••Dec 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••• C•••••• from E•••••• A••••••• G••••• L••Nov 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• R•••••• R•• from C••••••Jun 5, 2025 · RIA to RIA
- A••••• H••••••• from C••••• I••••••••• A••••••• L••May 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• J•••••• W•••• from C••••• I••••••••• A••••••• L••Mar 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••••• D•••• A••• from F••••••••• I••••••••• A••••••• L••Jan 2, 2023 · RIA to RIA
- M•••••• B••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 25, 2022 · Wirehouse to independent RIA
- W••••• P•••• W••• from W•• A•••••••• L•Apr 13, 2015 · Other
- W•••••• D••••• P••••••• from W•• A•••••••• L•Feb 11, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• K••••• M•••••• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- W•••• W•••••• P•••• · Principalcontrolsince 11/2014 · owns 75% or more
Related persons
Schedule D 7.A
- W••• F•••••••• G••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hendersonville, Tn · principal | 12 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN5 employees
- Mount Juliet, TN5 employees
What changed
consecutive filings, newest first
- Accounts · 2,171 to 2,324Oct 13, 2025 to Feb 9, 2026
- Advisory employees · 7 to 9Oct 13, 2025 to Feb 9, 2026
- HNW clients · 51 to 69Oct 13, 2025 to Feb 9, 2026
- Individual clients · 1,679 to 1,937Oct 13, 2025 to Feb 9, 2026
- Pension plan clients · 0 to 12Oct 13, 2025 to Feb 9, 2026
- Employees · 30 to 35Oct 13, 2025 to Feb 9, 2026
- Financial planning clients · 251-500 to 101-250Oct 13, 2025 to Feb 9, 2026
- State-registered IARs · 7 to 9Oct 13, 2025 to Feb 9, 2026
- Discretionary RAUM · $277M to $383MOct 13, 2025 to Feb 9, 2026
- HNW RAUM · $78.7M to $113MOct 13, 2025 to Feb 9, 2026
- Individual RAUM · $214M to $276MOct 13, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $16.5M to $10.3MOct 13, 2025 to Feb 9, 2026
- Pension RAUM · $0 to $4.2MOct 13, 2025 to Feb 9, 2026
- RAUM · $293M to $393MOct 13, 2025 to Feb 9, 2026
- Other offices · 2 to 4Jan 23, 2025 to Oct 13, 2025
- Accounts · 1,637 to 2,171Apr 30, 2024 to Jan 23, 2025
- Advisory employees · 5 to 7Apr 30, 2024 to Jan 23, 2025
- Advisory activities · 1 to 3Apr 30, 2024 to Jan 23, 2025
- HNW clients · 16 to 51Apr 30, 2024 to Jan 23, 2025
- Individual clients · 1,338 to 1,679Apr 30, 2024 to Jan 23, 2025
- Employees · 22 to 30Apr 30, 2024 to Jan 23, 2025
- Financial planning clients · unset to 251-500Apr 30, 2024 to Jan 23, 2025
- State-registered IARs · 5 to 7Apr 30, 2024 to Jan 23, 2025
- Discretionary RAUM · $206M to $277MApr 30, 2024 to Jan 23, 2025
- HNW RAUM · $30.4M to $78.7MApr 30, 2024 to Jan 23, 2025
- Individual RAUM · $175M to $214MApr 30, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $0 to $16.5MApr 30, 2024 to Jan 23, 2025
- RAUM · $206M to $293MApr 30, 2024 to Jan 23, 2025
- Wrap assets (manager) · $43.8M to $0Jan 24, 2024 to Jan 25, 2024
- Accounts · 1,158 to 1,637Sep 7, 2023 to Jan 24, 2024
- HNW clients · 19 to 16Sep 7, 2023 to Jan 24, 2024
- Individual clients · 1,013 to 1,338Sep 7, 2023 to Jan 24, 2024
- Employees · 5 to 22Sep 7, 2023 to Jan 24, 2024
- Other offices · 1 to 2Sep 7, 2023 to Jan 24, 2024
- Discretionary RAUM · $128M to $206MSep 7, 2023 to Jan 24, 2024
- HNW RAUM · $23.0M to $30.4MSep 7, 2023 to Jan 24, 2024
- Individual RAUM · $105M to $175MSep 7, 2023 to Jan 24, 2024
- RAUM · $128M to $206MSep 7, 2023 to Jan 24, 2024
- Wrap assets (manager) · $0 to $43.8MSep 7, 2023 to Jan 24, 2024
- Wrap assets (sponsor) · $55.7M to $0Sep 7, 2023 to Jan 24, 2024
Signals
7 dated events
- C•••••• R•••••• R•• left K•• C•••••• M••••••••• I••• for L•••• F••• A••••••• S••••••• (registered 2025-09-08)Aug 26, 2025 · Advisor changed firm · fact
- A••••• H••••••• left K•• C•••••• M••••••••• I••• for S•••••••• A••••••• L•• (registered 2025-07-16)May 19, 2025 · Advisor changed firm · fact
- M•••••• Kevin Mccann (Chief Compliance Officer) appeared on Schedule A of K•• C•••••• M••••••••• I•••Jan 24, 2024 · Control person joined · fact
- Lee R••••• B••••••••• (Chief Compliance Officer) no longer on Schedule A of K•• C•••••• M••••••••• I••• (listed 2023-09-07, absent 2024-01-24)Jan 24, 2024 · Control person left · inference
- M•••••• B••• M••••• left K•• C•••••• M••••••••• I••• for T•• G••••• A•••• M••••••••• L•• (registered 2023-03-22)Dec 21, 2022 · Advisor changed firm · fact
- K•• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 16, 2022 · First SEC registration · fact
- W•••••• D••••• P••••••• left K•• C•••••• M••••••••• I••• for T•••• A•••••••• L•• (registered 2022-04-19)May 18, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 615-826-5749reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wood-financial-group-llcreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/3797486/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- woodfinancialgroup.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-826-5749reportedpublic record, Form ADV, Apr 8, 2026
- Contact form
- woodfinancialgroup.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- woodfinancialgroup.com/our-teamreportedpublished 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
- $32.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026