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
T•• A•••••••• L••
Latest filing Nov 1, 2022
First filing on the tape May 5, 2015 · 18 filings
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$99.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$111M as of Mar 23, 2022
Mar 16, 2016$0 then
HNW client RAUM$83.1M as of Mar 23, 2022
Mar 23, 2018$13.8M then
State-registered IARs (5.B.3)9 as of Mar 23, 2022
Mar 16, 20161 then
Employees (5.A)12 as of Mar 23, 2022
Mar 16, 20166 then
Private funds: no history
RAUM +26% over the last fiscal year+24% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Nov 1, 2022; every figure names its basis
- RAUM per advisor
- $12.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $289,969derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +808%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.1M75%
- Individuals$16.0M14%
- Corporations and businesses$12.0M11%
- Individual clients
- 1,115reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 383reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D•••• J• S••••• to T•• G••••• A•••• M••••••••• L••Mar 3, 2023 · RIA to RIA
- W•••••• L•••••••• B••••• to T•• G••••• A•••• M••••••••• L••Dec 31, 2022 · RIA to RIA
- J•••••• L••• L••••••• to T•• G••••• A•••• M••••••••• L••Dec 31, 2022 · RIA to RIA
- J••••• B•••• D•••• to T•• G••••• A•••• M••••••••• L••Dec 31, 2022 · RIA to RIA
- C••••••• W•••• F••••• to T•• G••••• A•••• M••••••••• L••Dec 31, 2022 · RIA to RIA
- C•••••• C• C•••••• to D••••• D•••• A•• C•••••• W••••• M••••••••• L••Mar 23, 2018 · RIA to RIA
Joined, latest
- C••••••• W•••• F••••• from U••• B•••••• I••••••••• I•••Jan 13, 2022 · Affiliated broker-dealer or bank to independent RIA
- W•••••• L•••••••• B••••• from M••••• S••••••May 14, 2018 · Wirehouse to independent RIA
- J•••••• L••• L••••••• from W•••• F•••• A•••••••Apr 26, 2018 · Wirehouse to independent RIA
- C•••••• C• C•••••• from U•• F•••••••• S••••••• I•••Oct 14, 2016 · Other
- D•••• J• S••••• from W•••• F•••• A•••••••Jul 8, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for T•• G••••• A•••• M••••••••• L••Dec 31, 2022 · Brentwood, Tn · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• T•••••• S•••• · Owner, Director Of Global Investment Solutionscontrolsince 04/2015 · owns 25% to 50%
- D••••• S•••••• W• · Owner, Director Of Business Developmentcontrolsince 04/2015 · owns 25% to 50%
- M••••••• D••••• S••••• · Owner, Director Of Operationscontrolsince 04/2015 · owns 25% to 50%
- R•••••••• P••••••• M• · Owner, Director Of Practice Managementcontrolsince 04/2015 · owns 25% to 50%
- W•••• J••••• N••••••• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
Related persons
Schedule D 7.A
- T•• G••••• A•••• M••••••••• L••investment advisernRAUM $1.5B
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN1 employees
What changed
consecutive filings, newest first
- Accounts · 356 to 383Jan 11, 2022 to Mar 23, 2022
- Advisory employees · 4 to 5Jan 11, 2022 to Mar 23, 2022
- Advisory activities · 4 to 3Jan 11, 2022 to Mar 23, 2022
- BD registered reps · 1 to 2Jan 11, 2022 to Mar 23, 2022
- HNW clients · 21 to 38Jan 11, 2022 to Mar 23, 2022
- Individual clients · 106 to 1,115Jan 11, 2022 to Mar 23, 2022
- Employees · 11 to 12Jan 11, 2022 to Mar 23, 2022
- Insurance-licensed employees · 4 to 5Jan 11, 2022 to Mar 23, 2022
- State-registered IARs · 8 to 9Jan 11, 2022 to Mar 23, 2022
- Discretionary RAUM · $87.8M to $111MJan 11, 2022 to Mar 23, 2022
- HNW RAUM · $57.7M to $83.1MJan 11, 2022 to Mar 23, 2022
- Individual RAUM · $20.1M to $16.0MJan 11, 2022 to Mar 23, 2022
- RAUM · $87.8M to $111MJan 11, 2022 to Mar 23, 2022
- Accounts · 338 to 356Nov 2, 2020 to Mar 24, 2021
- Corporate clients · unset to 1.0Nov 2, 2020 to Mar 24, 2021
- HNW clients · 27 to 21Nov 2, 2020 to Mar 24, 2021
- Individual clients · 107 to 106Nov 2, 2020 to Mar 24, 2021
- Other offices · 2 to 1Nov 2, 2020 to Mar 24, 2021
- Discretionary RAUM · $72.7M to $87.8MNov 2, 2020 to Mar 24, 2021
- HNW RAUM · $61.3M to $57.7MNov 2, 2020 to Mar 24, 2021
- Individual RAUM · $11.4M to $20.1MNov 2, 2020 to Mar 24, 2021
- RAUM · $72.7M to $87.8MNov 2, 2020 to Mar 24, 2021
- Accounts · 244 to 338Dec 16, 2019 to Mar 11, 2020
- Advisory employees · 7 to 4Dec 16, 2019 to Mar 11, 2020
- HNW clients · 12 to 27Dec 16, 2019 to Mar 11, 2020
- Individual clients · 90 to 107Dec 16, 2019 to Mar 11, 2020
- Employees · 7 to 11Dec 16, 2019 to Mar 11, 2020
- State-registered IARs · 7 to 8Dec 16, 2019 to Mar 11, 2020
- Other offices · 1 to 2Dec 16, 2019 to Mar 11, 2020
- Discretionary RAUM · $58.0M to $72.7MDec 16, 2019 to Mar 11, 2020
- HNW RAUM · $43.3M to $61.3MDec 16, 2019 to Mar 11, 2020
- Individual RAUM · $14.7M to $11.4MDec 16, 2019 to Mar 11, 2020
- RAUM · $58.0M to $72.7MDec 16, 2019 to Mar 11, 2020
- Accounts · 34 to 244Mar 23, 2018 to Mar 27, 2019
- Advisory employees · 1 to 7Mar 23, 2018 to Mar 27, 2019
- BD registered reps · 0 to 1Mar 23, 2018 to Mar 27, 2019
- HNW clients · 8 to 12Mar 23, 2018 to Mar 27, 2019
- Individual clients · 14 to 90Mar 23, 2018 to Mar 27, 2019
- Assets in custody · 23135126.0 to unsetMar 23, 2018 to Mar 27, 2019
- Custody of client assets · true to falseMar 23, 2018 to Mar 27, 2019
Signals
8 dated events
- D•••• J• S••••• left T•• A•••••••• L•• for T•• G••••• A•••• M••••••••• L•• (registered 2022-12-02)Mar 3, 2023 · Advisor changed firm · fact
- J•••••• L••• L••••••• left T•• A•••••••• L•• for T•• G••••• A•••• M••••••••• L•• (registered 2022-12-02)Dec 31, 2022 · Advisor changed firm · fact
- J••••• B•••• D•••• left T•• A•••••••• L•• for T•• G••••• A•••• M••••••••• L•• (registered 2026-01-01)Dec 31, 2022 · Advisor changed firm · fact
- C••••••• W•••• F••••• left T•• A•••••••• L•• for T•• G••••• A•••• M••••••••• L•• (registered 2022-12-02)Dec 31, 2022 · Advisor changed firm · fact
- W•••••• L•••••••• B••••• left T•• A•••••••• L•• for T•• G••••• A•••• M••••••••• L•• (registered 2022-12-02)Dec 31, 2022 · Advisor changed firm · fact
- T•• A•••••••• L••'s advisors moved to T•• G••••• A•••• M••••••••• L•• (Brentwood, TN): 4 of 5 registered, on the same dayDec 31, 2022 · Firm absorbed (people side) · derived
- Nicholas Jones Warf (Chief Compliance Officer) appeared on Schedule A of T•• A•••••••• L••Dec 16, 2019 · Control person joined · fact
- T•• A•••••••• L•• filed its initial SEC registration (Form ADV)May 5, 2015 · 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