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••••• A••••••• L••
Latest filing Feb 26, 2026
First filing on the tape Aug 24, 2018 · 12 filings
SEC status approved since Sep 24, 2018
RAUM
$495M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
86%
$428M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$99.1M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$495M as of Feb 26, 2026
Feb 8, 2019$107M then
HNW client RAUM$296M as of Feb 26, 2026
Feb 8, 2019$33.6M then
State-registered IARs (5.B.3)5 as of Feb 26, 2026
Feb 8, 20192 then
Employees (5.A)10 as of Feb 26, 2026
Feb 8, 20196 then
Private funds: no history
RAUM +29% over the last fiscal year+26% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Feb 26, 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
- 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
- RAUM per advisor
- $99.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $893,161derivedHNW RAUM over HNW clients
- Average account
- $562,943derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $132M, 650 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M60%
- Individuals$132M27%
- Charitable organizations$39.1M7.9%
- Pension and profit-sharing plans$22.8M4.6%
- Corporations and businesses$5.6M1.1%
- Individual clients
- 528reported
- HNW clients
- 331reported
- Pension plan clients
- 9reported
- Charitable clients
- 8reported
- Accounts
- 880reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $132M for 650 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A••• M•••• | Manchester, Tn | Mar 20, 2017 | 19 y | 2 |
| G•••••• B•••••• | Manchester, Tn | Nov 20, 2023 | 13 y | 0 |
| B•••••• C••••• | Manchester, Tn | Nov 12, 2024 | 11 y | 0 |
| E•••• S•••••• M•••• | Manchester, Tn | Jan 1, 2025 | 12 y | 1 |
| H••••• H•••••• P••••••• | Manchester, Tn | Jan 1, 2025 | 11 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 headcount1 left over 36 months
Left, latest
- M•••••• N••• B••• to C••••• C•••• F•May 23, 2025 · Other
Joined, latest
- M•••••• N••• B••• from L•• F•••••••• L••Dec 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- B•••• A••• M•••• from W•••• F•••• A•••••••Mar 20, 2017 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• B••••• A••• · Managing Principalcontrolsince 12/2016 · owns 75% or more
- M••••• E••••• S•••••• · Ccocontrolsince 02/2021 · owns less than 5%
Related persons
Schedule D 7.A
- B•••• M••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Manchester, Tn · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mcminnville, TN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 26, 2026accounts (Item 5.F.2.f) moved from 2,356.0 to 880.0 (-63.0%) between the annual amendments of 2025-02-05 and 2026-02-26; the peer median change was +5.0% (3686 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 1.8% percentile
What changed
consecutive filings, newest first
- Accounts · 2,356 to 880Feb 5, 2025 to Feb 26, 2026
- Advisory employees · 6 to 5Feb 5, 2025 to Feb 26, 2026
- Charity clients · 6 to 8Feb 5, 2025 to Feb 26, 2026
- Corporate clients · 5.0 to unsetFeb 5, 2025 to Feb 26, 2026
- HNW clients · 288 to 331Feb 5, 2025 to Feb 26, 2026
- Individual clients · 408 to 528Feb 5, 2025 to Feb 26, 2026
- Pension plan clients · unset to 9.0Feb 5, 2025 to Feb 26, 2026
- Assets in custody · $298M to $132MFeb 5, 2025 to Feb 26, 2026
- Employees · 9 to 10Feb 5, 2025 to Feb 26, 2026
- State-registered IARs · 6 to 5Feb 5, 2025 to Feb 26, 2026
- Discretionary RAUM · $385M to $482MFeb 5, 2025 to Feb 26, 2026
- HNW RAUM · $254M to $296MFeb 5, 2025 to Feb 26, 2026
- Individual RAUM · $89.3M to $132MFeb 5, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $0 to $13.6MFeb 5, 2025 to Feb 26, 2026
- Pension RAUM · unset to 22796475.0Feb 5, 2025 to Feb 26, 2026
- RAUM · $385M to $495MFeb 5, 2025 to Feb 26, 2026
- Accounts · 571 to 2,356Feb 26, 2024 to Feb 5, 2025
- Advisory employees · 5 to 6Feb 26, 2024 to Feb 5, 2025
- Advisory activities · 2 to 3Feb 26, 2024 to Feb 5, 2025
- Charity clients · 8 to 6Feb 26, 2024 to Feb 5, 2025
- Corporate clients · 6 to 5Feb 26, 2024 to Feb 5, 2025
- HNW clients · 97 to 288Feb 26, 2024 to Feb 5, 2025
- Individual clients · 451 to 408Feb 26, 2024 to Feb 5, 2025
- Assets in custody · $249M to $298MFeb 26, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 0Feb 26, 2024 to Feb 5, 2025
- State-registered IARs · 5 to 6Feb 26, 2024 to Feb 5, 2025
- Discretionary RAUM · $277M to $385MFeb 26, 2024 to Feb 5, 2025
- HNW RAUM · $103M to $254MFeb 26, 2024 to Feb 5, 2025
- Individual RAUM · $138M to $89.3MFeb 26, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $7.7M to $0Feb 26, 2024 to Feb 5, 2025
- RAUM · $284M to $385MFeb 26, 2024 to Feb 5, 2025
- Accounts · 1,574 to 571Feb 21, 2023 to Feb 26, 2024
- Advisory employees · 2 to 5Feb 21, 2023 to Feb 26, 2024
- Charity clients · 6 to 8Feb 21, 2023 to Feb 26, 2024
- Corporate clients · unset to 6.0Feb 21, 2023 to Feb 26, 2024
- HNW clients · 82 to 97Feb 21, 2023 to Feb 26, 2024
- Individual clients · 400 to 451Feb 21, 2023 to Feb 26, 2024
- Assets in custody · $130M to $249MFeb 21, 2023 to Feb 26, 2024
- Employees · 7 to 9Feb 21, 2023 to Feb 26, 2024
- State-registered IARs · 2 to 5Feb 21, 2023 to Feb 26, 2024
Signals
6 dated events
- M•••• W••••• A••••••• L•• reported RAUM $495.4M, up 29% from $384.6M (2025-02-05 to 2026-02-26)Feb 26, 2026 · RAUM change · derived
- M•••••• N••• B••• left M•••• W••••• A••••••• L•• for C••••• C•••• F• (registered 2025-10-15)May 23, 2025 · Advisor changed firm · fact
- M•••• W••••• A••••••• L•• reported RAUM $384.6M, up 35% from $284.4M (2024-02-26 to 2025-02-05)Feb 5, 2025 · RAUM change · derived
- Suzanne Emily Casey (Cco) appeared on Schedule A of M•••• W••••• A••••••• L••Feb 18, 2021 · Control person joined · fact
- Suzanne Emily Casey (Chief Compliance Officer) no longer on Schedule A of M•••• W••••• A••••••• L•• (listed 2019-02-08, absent 2019-11-12)Nov 12, 2019 · Control person left · inference
- M•••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 24, 2018 · 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
- a••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 931-474-2130reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 931-728-2130reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/1161116/ADMIN/DASHBOARDreportedpublic record, Form ADV, Sep 19, 2026
- Website
- M••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 931-728-2130reportedpublic record, Form ADV, Feb 26, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $99.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026