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
B••• R•••• W••••• P•••••••
Legal name R••••••••• F•••••••• S••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Feb 18, 2022 · 13 filings
SEC status approved since Mar 22, 2022
RAUM
$362M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$358M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$24.1M
derived; firm RAUM over IAPD count
Employees
26
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$362M as of Mar 20, 2026
Mar 20, 2023$149M then
HNW client RAUM$125M as of Mar 20, 2026
Mar 20, 2023$23.7M then
State-registered IARs (5.B.3)13 as of Mar 20, 2026
Mar 20, 20237 then
Employees (5.A)26 as of Mar 20, 2026
Mar 20, 202322 then
Private funds: no history
RAUM +31% over the last fiscal year+34% a year over threeIARs 7 to 13offices 1 to 3
Practice profile
derived from the filing of Mar 20, 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
- $24.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $169,237derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +86%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- participatesreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$232M64%
- High-net-worth individuals$125M35%
- Pension and profit-sharing plans$3.2M0.9%
- Corporations and businesses$784,9700.2%
- Individual clients
- 721reported
- HNW clients
- 69reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 2,137reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $0 sponsored, $362M 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
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• R••••• F••••• | Knoxville, Tn | Oct 18, 2016 | 12 y | 1 |
| J••• V••••••••• | Knoxville, Tn | Oct 18, 2016 | 13 y | 1 |
| R••••• H•••• F•••••Certified Financial Planner, Chartered Financial Consultant | Knoxville, Tn | Oct 18, 2016 | 28 y | 3 |
| R•••••• Z•••••• H••• | Knoxville, Tn | Jun 13, 2019 | 11 y | 0 |
| M••• C••••••••• M••••• | Knoxville, Tn | Jan 15, 2020 | 10 y | 0 |
| J••••••• M•••• | Knoxville, Tn | Nov 18, 2020 | 13 y | 1 |
| A••••• W•••• B•••••••• | Knoxville, Tn | Mar 25, 2024 | 10 y | 0 |
| B•••• W•••••• H•••• | Knoxville, Tn | Mar 13, 2025 | 13 y | 1 |
| J•••• E•••• K••• | Knoxville, Tn | Mar 28, 2025 | 11 y | 0 |
| M•••• M•••• S•••• | Knoxville, Tn | May 12, 2025 | 11 y | 0 |
| J••••• W•••• B•••••• | Knoxville, Tn | Aug 5, 2025 | 14 y | 0 |
| J••••• R••••• H•••Chartered Financial Analyst | Knoxville, Tn | Aug 15, 2025 | 10 y | 0 |
| W•••• H••••• C•••••• | Knoxville, Tn | Nov 24, 2025 | 11 y | 0 |
| B••••••• P•••••• A•••••• | Knoxville, Tn | Jan 6, 2026 | 11 y | 0 |
| J•••• S•••• N••••• | Knoxville, Tn | Jun 10, 2026 | 10 y | 0 |
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
- E•••••••• C••••••• G••••• to C••••••••• M••••••••• I•••Jun 16, 2023 · Other
- T••••• A• B•••••• to F••••••• P••••••• A•• W•••••••• A•••••••Feb 5, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••• W•••••• H•••• from A••••••••• F•••••••• S•••••••• L••Mar 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••••• M•••• from P•• W•••••• C••••••• L••Nov 18, 2020 · RIA to RIA
- J••• V••••••••• from G••••• F•••••••• P•••••• C••••••• I•••Oct 18, 2016 · Other
- R••••• H•••• F••••• from G••••• F•••••••• P•••••• C••••••• I•••Oct 18, 2016 · Other
- B•••••• R••••• F••••• from G••••• F•••••••• P•••••• C••••••• I•••Oct 18, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from G••••• F•••••••• P•••••• C••••••• I•••Jul 17, 2017 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• B••••••• R••••• · Managing Directorcontrolsince 08/2014 · owns 25% to 50%
- F•••••• R•••••• H•••• · Member And Wealth Plannercontrolsince 08/2014 · owns 10% to 25%
- V••••••••• J••• · Member And Wealth Plannercontrolsince 08/2014 · owns 10% to 25%
- F•••••• R••••• R•••• · Membersince 08/2014 · owns 10% to 25%
- P••••• C••••••••• L•• · Chief Compliance Officersince 10/2023 · owns less than 5%
- V••••••••• A••••• · Membersince 08/2014 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 15 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chattanooga, TN6 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 20, 2026accounts (Item 5.F.2.f) moved from 723.0 to 2,137.0 (+196.0%) between the annual amendments of 2025-03-31 and 2026-03-20; the peer median change was +5.0% (3686 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 99% percentile
- advisor count surgeChange between filings · filing Mar 20, 2026advisory representatives (Item 5.B.3) moved from 7.0 to 13.0 (+86.0%) between the annual amendments of 2025-03-31 and 2026-03-20; the peer median change was 0.0% (965 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 100% percentile
- business activity changedChange between filings · filing Mar 20, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-11-10, no on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 723 to 2,137Nov 10, 2025 to Mar 20, 2026
- Advisory employees · 7 to 14Nov 10, 2025 to Mar 20, 2026
- Advisory activities · 6 to 3Nov 10, 2025 to Mar 20, 2026
- Corporate clients · 0 to 4Nov 10, 2025 to Mar 20, 2026
- HNW clients · 46 to 69Nov 10, 2025 to Mar 20, 2026
- Individual clients · 677 to 721Nov 10, 2025 to Mar 20, 2026
- Pension plan clients · 0 to 4Nov 10, 2025 to Mar 20, 2026
- Employees · 20 to 26Nov 10, 2025 to Mar 20, 2026
- Financial planning clients · 0 to More than 500Nov 10, 2025 to Mar 20, 2026
- State-registered IARs · 7 to 13Nov 10, 2025 to Mar 20, 2026
- Other offices · 1 to 3Nov 10, 2025 to Mar 20, 2026
- Discretionary RAUM · $276M to $362MNov 10, 2025 to Mar 20, 2026
- HNW RAUM · $85.2M to $125MNov 10, 2025 to Mar 20, 2026
- Individual RAUM · $191M to $232MNov 10, 2025 to Mar 20, 2026
- Pension RAUM · $0 to $3.2MNov 10, 2025 to Mar 20, 2026
- RAUM · $276M to $362MNov 10, 2025 to Mar 20, 2026
- Wrap assets (manager) · $255M to $362MNov 10, 2025 to Mar 20, 2026
- Financial planning clients · 0 to 0Jul 11, 2025 to Nov 10, 2025
- Advisory activities · 5 to 6Mar 31, 2025 to Jul 11, 2025
- Accounts · 1,846 to 723Jan 2, 2025 to Mar 31, 2025
- HNW clients · 19 to 46Jan 2, 2025 to Mar 31, 2025
- Individual clients · 644 to 677Jan 2, 2025 to Mar 31, 2025
- Employees · 22 to 20Jan 2, 2025 to Mar 31, 2025
- State-registered IARs · 6 to 7Jan 2, 2025 to Mar 31, 2025
- Discretionary RAUM · $201M to $276MJan 2, 2025 to Mar 31, 2025
- HNW RAUM · $36.2M to $85.2MJan 2, 2025 to Mar 31, 2025
- Individual RAUM · $165M to $191MJan 2, 2025 to Mar 31, 2025
- RAUM · $201M to $276MJan 2, 2025 to Mar 31, 2025
- Wrap assets (manager) · $186M to $255MJan 2, 2025 to Mar 31, 2025
- Accounts · 1,718 to 1,846Oct 20, 2023 to Mar 11, 2024
- Advisory employees · 9 to 7Oct 20, 2023 to Mar 11, 2024
- HNW clients · 14 to 19Oct 20, 2023 to Mar 11, 2024
- Individual clients · 601 to 644Oct 20, 2023 to Mar 11, 2024
- State-registered IARs · 7 to 6Oct 20, 2023 to Mar 11, 2024
- Discretionary RAUM · $149M to $201MOct 20, 2023 to Mar 11, 2024
- HNW RAUM · $23.7M to $36.2MOct 20, 2023 to Mar 11, 2024
- Individual RAUM · $126M to $165MOct 20, 2023 to Mar 11, 2024
- RAUM · $149M to $201MOct 20, 2023 to Mar 11, 2024
- Wrap assets (manager) · unset to 185526123.0Oct 20, 2023 to Mar 11, 2024
- Wrap assets (sponsor) · unset to 0.0Oct 20, 2023 to Mar 11, 2024
Signals
2 dated events
- E•••••••• C••••••• G••••• left B••• R•••• W••••• P••••••• for C••••••••• M••••••••• I••• (registered 2023-07-24)Jun 16, 2023 · Advisor changed firm · fact
- B••• R•••• W••••• P••••••• filed its initial SEC registration (Form ADV)Feb 18, 2022 · 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 phone
- 423-226-0600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 865-392-4260reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-249-7655reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/blueridgewealthplannersreportedpublic record, Form ADV, Sep 19, 2026
- Website
- blueridgersvp.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 865-392-4260reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- blueridgewealth.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
- $24.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026