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
O•••• W••••• P••••••• A•••••••
Legal name O•••• W••••• P••••••• A•••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Jun 17, 2024 · 9 filings
SEC status approved since Jul 16, 2024
RAUM
$276M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$276M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$39.4M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$276M as of Jun 11, 2026
May 1, 2025$268M then
HNW client RAUM$248M as of Jun 11, 2026
May 1, 2025$246M then
State-registered IARs (5.B.3)7 as of Jun 11, 2026
May 1, 20256 then
Employees (5.A)12 as of Jun 11, 2026
May 1, 20259 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 11, 2026; every figure names its basis
- RAUM per advisor
- $39.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $389,202derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.4derived16 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$248M90%
- Individuals$27.5M10.0%
- Individual clients
- 49reported
- HNW clients
- 137reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 709reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• W••• M•••••Certified Financial Planner | Nashville, Tn | Feb 11, 2020 | 29 y | 2 |
| M••••• R••••• B•••Chartered Financial Analyst | Nashville, Tn | Apr 2, 2020 | 24 y | 3 |
| B•••••• J•••• S••••• | Woodstock, Ga | Aug 12, 2024 | 12 y | 1 |
| G•••••• C••••• E•••• | Wellesley, Ma | May 7, 2025 | 41 y | 3 |
| M••••••••• G•••••Certified Financial Planner | Nashville, Tn | Jan 21, 2026 | 14 y | 1 |
| S••• M•••• C•••••• | Nashville, Tn | Feb 2, 2026 | 11 y | 0 |
| K•••••• A•• M•••••• | Bowling Green, Ky | Mar 5, 2026 | 10 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- K•••••• A•• M•••••• from S••••Mar 5, 2026 · RIA to RIA
- M••••••••• G••••• from T••••• C•••••• M••••••••• L••Jan 21, 2026 · RIA to RIA
- G•••••• C••••• E•••• from C••••• B•••• W••••• M•••••••••May 7, 2025 · Other
- B•••••• J•••• S••••• from V••••••• A•••••••• I•••Aug 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••••• R••••• B••• from E••••••• W••••• P•••••••Apr 2, 2020 · Other
- S•••••• W••• M••••• from F•••• T•••• S••••••••• I•••Feb 11, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• M•••••• R••••• · Managing Member, Chief Compliance Officercontrolsince 07/2023 · owns 25% to 50%
- M•••••• S••••••• W••• · Managing Member, Wealth P••••••• Advisorcontrolsince 09/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Nashville, Tn | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL2 employees
- Franklin, TN1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Jun 11, 2026offices per registered advisor of 2.3 against a peer median of 0.6 (577 comparable advisers, 99.0th percentile, 6.6 robust deviations)peers: independent wealth managers, $100M to $500M (577) · 99% percentile
What changed
consecutive filings, newest first
- Other offices · 14 to 15Mar 27, 2026 to Apr 10, 2026
- Accounts · 819 to 709Dec 16, 2025 to Mar 27, 2026
- Advisory employees · 5 to 7Dec 16, 2025 to Mar 27, 2026
- HNW clients · 139 to 137Dec 16, 2025 to Mar 27, 2026
- Individual clients · 62 to 49Dec 16, 2025 to Mar 27, 2026
- Employees · 8 to 12Dec 16, 2025 to Mar 27, 2026
- State-registered IARs · 5 to 7Dec 16, 2025 to Mar 27, 2026
- Other offices · 6 to 14Dec 16, 2025 to Mar 27, 2026
- Discretionary RAUM · $213M to $258MDec 16, 2025 to Mar 27, 2026
- HNW RAUM · $246M to $248MDec 16, 2025 to Mar 27, 2026
- Individual RAUM · $21.8M to $27.5MDec 16, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $55.1M to $18.2MDec 16, 2025 to Mar 27, 2026
- RAUM · $268M to $276MDec 16, 2025 to Mar 27, 2026
- Advisory employees · 6 to 5Jun 11, 2025 to Dec 16, 2025
- Employees · 9 to 8Jun 11, 2025 to Dec 16, 2025
- State-registered IARs · 6 to 5Jun 11, 2025 to Dec 16, 2025
- Other offices · 7 to 6Jun 11, 2025 to Dec 16, 2025
- Related insurance company · true to falseJun 11, 2025 to Dec 16, 2025
- Financial planning clients · 101-250 to 101-250May 1, 2025 to Jun 11, 2025
- Other offices · 6 to 7May 1, 2025 to Jun 11, 2025
- Accounts · 820 to 819Aug 1, 2024 to May 1, 2025
- Advisory employees · 7 to 6Aug 1, 2024 to May 1, 2025
- HNW clients · 152 to 139Aug 1, 2024 to May 1, 2025
- Individual clients · 61 to 62Aug 1, 2024 to May 1, 2025
- Employees · 12 to 9Aug 1, 2024 to May 1, 2025
- HQ city · unset to Aug 1, 2024 to May 1, 2025
- HQ state · unset to Aug 1, 2024 to May 1, 2025
- State-registered IARs · 7 to 6Aug 1, 2024 to May 1, 2025
- Other offices · 5 to 6Aug 1, 2024 to May 1, 2025
- Discretionary RAUM · $116M to $213MAug 1, 2024 to May 1, 2025
- HNW RAUM · $239M to $246MAug 1, 2024 to May 1, 2025
- Individual RAUM · $15.5M to $21.8MAug 1, 2024 to May 1, 2025
- Non-discretionary RAUM · $138M to $55.1MAug 1, 2024 to May 1, 2025
- RAUM · $254M to $268MAug 1, 2024 to May 1, 2025
- Advisory employees · 5 to 7Jun 17, 2024 to Aug 1, 2024
- Employees · 10 to 12Jun 17, 2024 to Aug 1, 2024
- State-registered IARs · 5 to 7Jun 17, 2024 to Aug 1, 2024
- Other offices · 4 to 5Jun 17, 2024 to Aug 1, 2024
Signals
2 dated events
- O•••• W••••• P••••••• A••••••• reported 14 offices beyond its principal office, up from 6 (2025-12-16 to 2026-03-27)Mar 27, 2026 · Office count change · derived
- O•••• W••••• P••••••• A••••••• filed its initial SEC registration (Form ADV)Jun 17, 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 phone
- 615-933-3316reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (615) 933-3314reportedpublic record, Form ADV, Jun 11, 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
- $39.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026