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
D••••• D•••• A•• C•••••• W••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Jun 15, 2018 · 13 filings
SEC status approved since Jul 16, 2018
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$145M as of Mar 20, 2026
Mar 25, 2019$109M then
HNW client RAUM$99.0M as of Mar 20, 2026
Mar 25, 2019$65.9M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Mar 25, 20194 then
Employees (5.A)3 as of Mar 20, 2026
Mar 25, 20194 then
Private funds: no history
RAUM -15% over the last fiscal year+2.3% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $48.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $243,085derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $145MreportedItem 5.I
- Custody
- $3.3M, 7 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
- 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)
- 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$99.0M68%
- Individuals$45.9M32%
- Individual clients
- 140reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 596reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $3.3M for 7 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• C• C••••••Certified Financial Planner | Nashville, Tn | Jan 31, 2017 | 18 y | 2 |
| Z•••••• S•••• E••••• | Nashville, Tn | Aug 31, 2017 | 22 y | 1 |
| T•••• A•••••• D••• | Nashville, Tn | Jun 3, 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Z•••••• S•••• E••••• from U•• F•••••••• S••••••• I•••Aug 31, 2017 · Wirehouse to independent RIA
- C•••••• C• C•••••• from T•• A•••••••• L••Jan 31, 2017 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••• C• · Member & Chief Compliance Officercontrolsince 01/2017 · owns 25% to 50%
- E•••••• Z••••••• S•••• · Membercontrolsince 01/2021 · 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 · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 556 to 596Jan 8, 2026 to Mar 20, 2026
- Advisory employees · 2 to 3Jan 8, 2026 to Mar 20, 2026
- HNW clients · 43 to 46Jan 8, 2026 to Mar 20, 2026
- Individual clients · 111 to 140Jan 8, 2026 to Mar 20, 2026
- Assets in custody · $2.9M to $3.3MJan 8, 2026 to Mar 20, 2026
- Employees · 2 to 3Jan 8, 2026 to Mar 20, 2026
- State-registered IARs · 2 to 3Jan 8, 2026 to Mar 20, 2026
- Discretionary RAUM · $170M to $145MJan 8, 2026 to Mar 20, 2026
- HNW RAUM · $132M to $99.0MJan 8, 2026 to Mar 20, 2026
- Individual RAUM · $37.5M to $45.9MJan 8, 2026 to Mar 20, 2026
- RAUM · $170M to $145MJan 8, 2026 to Mar 20, 2026
- Accounts · 528 to 556Mar 21, 2024 to Mar 28, 2025
- HNW clients · 40 to 43Mar 21, 2024 to Mar 28, 2025
- Individual clients · 117 to 111Mar 21, 2024 to Mar 28, 2025
- Assets in custody · $2.1M to $2.9MMar 21, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $156M to $170MMar 21, 2024 to Mar 28, 2025
- HNW RAUM · $117M to $132MMar 21, 2024 to Mar 28, 2025
- Individual RAUM · $38.8M to $37.5MMar 21, 2024 to Mar 28, 2025
- RAUM · $156M to $170MMar 21, 2024 to Mar 28, 2025
- Accounts · 504 to 528Mar 27, 2023 to Mar 21, 2024
- HNW clients · 35 to 40Mar 27, 2023 to Mar 21, 2024
- Individual clients · 125 to 117Mar 27, 2023 to Mar 21, 2024
- Assets in custody · $2.1M to $2.1MMar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $135M to $156MMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $98.5M to $117MMar 27, 2023 to Mar 21, 2024
- Individual RAUM · $36.9M to $38.8MMar 27, 2023 to Mar 21, 2024
- RAUM · $135M to $156MMar 27, 2023 to Mar 21, 2024
- Accounts · 466 to 504Mar 28, 2022 to Mar 27, 2023
- HNW clients · 37 to 35Mar 28, 2022 to Mar 27, 2023
- Individual clients · 99 to 125Mar 28, 2022 to Mar 27, 2023
- Assets in custody · $2.0M to $2.1MMar 28, 2022 to Mar 27, 2023
- Discretionary RAUM · $135M to $135MMar 28, 2022 to Mar 27, 2023
- HNW RAUM · $100M to $98.5MMar 28, 2022 to Mar 27, 2023
- Individual RAUM · $35.3M to $36.9MMar 28, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $229,237 to $0Mar 28, 2022 to Mar 27, 2023
- RAUM · $136M to $135MMar 28, 2022 to Mar 27, 2023
- Accounts · 452 to 466Oct 5, 2021 to Mar 28, 2022
- HNW clients · 32 to 37Oct 5, 2021 to Mar 28, 2022
- Individual clients · 105 to 99Oct 5, 2021 to Mar 28, 2022
Signals
4 dated events
- Norman Davis (General Partner) no longer on Schedule A of D••••• D•••• A•• C•••••• W••••• M••••••••• L•• (listed 2020-06-26, absent 2021-01-26)Jan 26, 2021 · Control person left · inference
- Denbo Melissa Davis (General Partner) no longer on Schedule A of D••••• D•••• A•• C•••••• W••••• M••••••••• L•• (listed 2020-06-26, absent 2021-01-26)Jan 26, 2021 · Control person left · inference
- Scott Zachary Eidson (Member) appeared on Schedule A of D••••• D•••• A•• C•••••• W••••• M••••••••• L••Jan 26, 2021 · Control person joined · fact
- D••••• D•••• A•• C•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 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
- t••••••@d••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 615-324-7860reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 615-433-5269reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- d••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 615-324-7825reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- d••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- d••••••••.comreportedpublished 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
- $48.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026