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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SEC-registered adviser
M•••• W••••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Jun 21, 2024 · 5 filings
SEC status approved since Jul 19, 2024
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$182M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.8M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$182M as of Mar 3, 2026
Jan 30, 2025$168M then
HNW client RAUM$123M as of Mar 3, 2026
Jan 30, 2025$113M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Jan 30, 20252 then
Employees (5.A)6 as of Mar 3, 2026
Jan 30, 20256 then
Private funds: no history
RAUM +8.2% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $322,662derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Custody
- $23.6M, 74 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M68%
- Individuals$58.4M32%
- Pension and profit-sharing plans$736,0820.4%
- Charitable organizations$3090.0%
- Individual clients
- 132reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 565reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.6M for 74 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y••••• M• M•••• | Knoxville, Tn | Feb 2, 2016 | 14 y | 2 |
| M•••••• B•••• M•••• | Knoxville, Tn | May 4, 2017 | 15 y | 0 |
| J•••••• A••• L•••Chartered Financial Consultant | Knoxville, Tn | Jan 16, 2026 | 34 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••••• A••• L••• from M••••• W••••• M••••••••• L••Jan 16, 2026 · RIA to RIA
- Y••••• M• M•••• from P••••••••• C•••••• A•••••••Feb 2, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• M••••••• B•••• · Member/Chief Compliance Officercontrolsince 11/2015 · owns 50% to 75%
- M••••• Y•••••• M• · Managing Membercontrolsince 11/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
- M•••• P••••••••• G••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 558 to 565Apr 30, 2025 to Mar 3, 2026
- Advisory employees · 2 to 3Apr 30, 2025 to Mar 3, 2026
- Charity clients · 0.0 to unsetApr 30, 2025 to Mar 3, 2026
- Individual clients · 134 to 132Apr 30, 2025 to Mar 3, 2026
- Pension plan clients · 0.0 to unsetApr 30, 2025 to Mar 3, 2026
- Assets in custody · $24.4M to $23.6MApr 30, 2025 to Mar 3, 2026
- State-registered IARs · 2 to 3Apr 30, 2025 to Mar 3, 2026
- Discretionary RAUM · $168M to $182MApr 30, 2025 to Mar 3, 2026
- HNW RAUM · $113M to $123MApr 30, 2025 to Mar 3, 2026
- Individual RAUM · $53.7M to $58.4MApr 30, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $0 to $448,118Apr 30, 2025 to Mar 3, 2026
- Pension RAUM · $535,413 to $736,082Apr 30, 2025 to Mar 3, 2026
- RAUM · $168M to $182MApr 30, 2025 to Mar 3, 2026
- Assets in custody · unset to 24362672.0Jan 30, 2025 to Apr 30, 2025
- Custody of client assets · false to trueJan 30, 2025 to Apr 30, 2025
- Financial planning clients · 1-10 to 1-10Jan 30, 2025 to Apr 30, 2025
- Accounts · 531 to 558Aug 22, 2024 to Jan 30, 2025
- HNW clients · 35 to 49Aug 22, 2024 to Jan 30, 2025
- Individual clients · 141 to 134Aug 22, 2024 to Jan 30, 2025
- Discretionary RAUM · $139M to $168MAug 22, 2024 to Jan 30, 2025
- HNW RAUM · $82.2M to $113MAug 22, 2024 to Jan 30, 2025
- Individual RAUM · $55.7M to $53.7MAug 22, 2024 to Jan 30, 2025
- Pension RAUM · $0 to $535,413Aug 22, 2024 to Jan 30, 2025
- RAUM · $139M to $168MAug 22, 2024 to Jan 30, 2025
Signals
1 dated events
- M•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 21, 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
- Business email
- admin@marshwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 865-622-2162reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 865-622-2167reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-884-2162reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- marshwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 865-622-2162reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- marshwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $60.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026