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
A••••• W••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 15, 2016 · 41 filings
SEC status approved since Feb 5, 2016
RAUM
$638M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
85%
$541M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$53.2M
derived; firm RAUM over IAPD count
Employees
17
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$638M as of Mar 27, 2026
Mar 6, 2017$131M then
HNW client RAUM$505M as of Mar 27, 2026
Feb 5, 2018$114M then
State-registered IARs (5.B.3)12 as of Mar 27, 2026
Mar 6, 20175 then
Employees (5.A)17 as of Mar 27, 2026
Mar 6, 201710 then
Private funds1 as of Mar 27, 2026
Mar 18, 20221 then
RAUM +7.5% over the last fiscal year+24% a year over threeIARs 10 to 12
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $53.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $258M, 153 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$505M79%
- Pension and profit-sharing plans$48.9M7.7%
- Individuals$36.0M5.6%
- Charitable organizations$19.8M3.1%
- Corporations and businesses$19.7M3.1%
- Pooled investment vehicles$9.4M1.5%
- Individual clients
- 136reported
- HNW clients
- 144reported
- Pension plan clients
- 12reported
- Charitable clients
- 4reported
- Accounts
- 303reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $258M for 153 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.01 institutional_share=0.11 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 |
|---|---|---|---|---|
| M•••••• S•••••• V••••••••Certified Financial Planner | Chattanooga, Tn | Feb 5, 2016 | 23 y | 1 |
| A•• R•••• S•••• | Chattanooga, Tn | Feb 8, 2016 | 17 y | 2 |
| S••••• M•••• | Chattanooga, Tn | Oct 13, 2020 | 13 y | 1 |
| D•••• H••••• W•••• | Chattanooga, Tn | Jun 28, 2022 | 10 y | 0 |
| C•••• L•••• K•••••••• | Chattanooga, Tn | May 29, 2024 | 10 y | 2 |
| J••••••• M••••••• | Chattanooga, Tn | Oct 14, 2024 | 13 y | 1 |
| J•••• W••••• | Chattanooga, Tn | Jan 1, 2025 | 10 y | 2 |
| K•••••••• D••••••• S••••••••• | Chattanooga, Tn | Jan 21, 2025 | 10 y | 0 |
| J••••• H•••••• Y•• | Chattanooga, Tn | Aug 26, 2025 | 10 y | 1 |
| R••• D•••• W•••••• | Chattanooga, Tn | Sep 2, 2025 | 30 y | 10 |
| K••• B•••• M•••Chartered Financial Analyst | Chattanooga, Tn | Feb 11, 2026 | 13 y | 0 |
| M•••••• A•••• A•••••••• | Chattanooga, Tn | Feb 20, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- C•••••••• L••• J•••••• to T•• P••••• G••••• I•••Nov 3, 2025 · RIA to RIA
- G•••• M••••• A•••• to T•• P••••• G••••• I•••Feb 28, 2025 · RIA to RIA
Joined, latest
- R••• D•••• W•••••• from C•••••• C••••••• L••Sep 2, 2025 · RIA to RIA
- J•••• W••••• from L•• F•••••••• L••Jan 1, 2025 · RIA to RIA
- J••••••• M••••••• from E••••• J••••Oct 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••• L•••• K•••••••• from C••••• I••••••••• A••••••• L••May 29, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••••• M•••• from W•••• F•••• A•••••••Oct 13, 2020 · Wirehouse to independent RIA
- A•• R•••• S•••• from N•• A•••••• S•••••••• L••Feb 8, 2016 · Other
- M•••••• S•••••• V•••••••• from N•• A•••••• S•••••••• L••Feb 5, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N•• A•••••• S•••••••• L••Feb 8, 2016 · Chattanooga, Tn
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• L••••• F••• I• L•• | Real Estate Fund | $9.4M | 19 | Mar 18, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••• G••••• M••••• · Sr Investment Strategist, Partnercontrolsince 01/2023 · owns less than 5%
- S••••• A••• R•••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- V••••••••• M••••••• S•••••• · Managing Membercontrolsince 01/2012 · owns 75% or more
- B••••••• T•••••• R•••••• · Minority Partnersince 01/2018 · owns less than 5%
- V••••••••• R••••••• · Minority Partnersince 01/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••• P•••••• R••• E•••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chattanooga, Tn · principal | 12 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 271 to 303Oct 28, 2025 to Mar 27, 2026
- Advisory employees · 10 to 12Oct 28, 2025 to Mar 27, 2026
- Charity clients · 6 to 4Oct 28, 2025 to Mar 27, 2026
- Corporate clients · 7 to 6Oct 28, 2025 to Mar 27, 2026
- HNW clients · 145 to 144Oct 28, 2025 to Mar 27, 2026
- Individual clients · 99 to 136Oct 28, 2025 to Mar 27, 2026
- Pension plan clients · 13 to 12Oct 28, 2025 to Mar 27, 2026
- Assets in custody · $71.0M to $258MOct 28, 2025 to Mar 27, 2026
- State-registered IARs · 10 to 12Oct 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $553M to $590MOct 28, 2025 to Mar 27, 2026
- HNW RAUM · $431M to $505MOct 28, 2025 to Mar 27, 2026
- Individual RAUM · $56.4M to $36.0MOct 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $40.7M to $48.9MOct 28, 2025 to Mar 27, 2026
- Pension RAUM · $44.5M to $48.9MOct 28, 2025 to Mar 27, 2026
- RAUM · $594M to $638MOct 28, 2025 to Mar 27, 2026
- Accounts · 247 to 271Aug 8, 2024 to Apr 30, 2025
- Charity clients · unset to 6.0Aug 8, 2024 to Apr 30, 2025
- Corporate clients · unset to 7.0Aug 8, 2024 to Apr 30, 2025
- HNW clients · 116 to 145Aug 8, 2024 to Apr 30, 2025
- Individual clients · 111 to 99Aug 8, 2024 to Apr 30, 2025
- Pension plan clients · 12 to 13Aug 8, 2024 to Apr 30, 2025
- Assets in custody · $115M to $71.0MAug 8, 2024 to Apr 30, 2025
- Financial planning clients · 101-250 to 101-250Aug 8, 2024 to Apr 30, 2025
- State-registered IARs · 9 to 10Aug 8, 2024 to Apr 30, 2025
- Discretionary RAUM · $386M to $553MAug 8, 2024 to Apr 30, 2025
- HNW RAUM · $310M to $431MAug 8, 2024 to Apr 30, 2025
- Individual RAUM · $30.5M to $56.4MAug 8, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $41.6M to $40.7MAug 8, 2024 to Apr 30, 2025
- Pension RAUM · $44.1M to $44.5MAug 8, 2024 to Apr 30, 2025
- RAUM · $427M to $594MAug 8, 2024 to Apr 30, 2025
- Accounts · 225 to 247Apr 28, 2023 to Mar 18, 2024
- HNW clients · 103 to 116Apr 28, 2023 to Mar 18, 2024
- Individual clients · 103 to 111Apr 28, 2023 to Mar 18, 2024
- Pension plan clients · 13 to 12Apr 28, 2023 to Mar 18, 2024
- Assets in custody · $78.7M to $115MApr 28, 2023 to Mar 18, 2024
- Employees · 16 to 17Apr 28, 2023 to Mar 18, 2024
- State-registered IARs · 8 to 9Apr 28, 2023 to Mar 18, 2024
- Discretionary RAUM · $305M to $386MApr 28, 2023 to Mar 18, 2024
- HNW RAUM · $253M to $310MApr 28, 2023 to Mar 18, 2024
- Individual RAUM · $23.1M to $30.5MApr 28, 2023 to Mar 18, 2024
Signals
5 dated events
- C•••••••• L••• J•••••• left A••••• W••••• A•••••••• L•• for T•• P••••• G••••• I••• (registered 2025-11-10)Nov 3, 2025 · a•••••• firm change · fact
- A••••• W••••• A•••••••• L•• reported RAUM $593.7M, up 39% from $427.3M (2024-08-08 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- G•••• M••••• A•••• left A••••• W••••• A•••••••• L•• for T•• P••••• G••••• I••• (registered 2025-03-27)Feb 28, 2025 · a•••••• firm change · fact
- Mccall G•••• A•••• (Sr Investment Strategist, Partner) appeared on Schedule A of A••••• W••••• A•••••••• L••Mar 18, 2024 · Control person joined · fact
- A••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 15, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• W••••• A•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/A•••••-WEALTH-A••••••Sreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.A•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 423-825-4796reportedpublic record, Form ADV, Mar 27, 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
- $53.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
A••••• W••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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