DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R••••••••• P••••••• S•••••••
Legal name H••• R••••••••• P••••••• S•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Nov 19, 2020 · 24 filings
SEC status approved since May 6, 2021
RAUM
$246M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$225M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$246M as of Mar 5, 2026
Mar 22, 2021$116M then
HNW client RAUM$176M as of Mar 5, 2026
Mar 22, 2021$79.5M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 22, 20211 then
Employees (5.A)6 as of Mar 5, 2026
Mar 22, 20214 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 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
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $482,313derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $28.8M, 38 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M72%
- Individuals$48.1M20%
- Charitable organizations$21.5M8.7%
- Individual clients
- 133reported
- HNW clients
- 115reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 510reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.8M for 38 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• S•••••• H•••Certified Financial Planner | Knoxville, Tn | Aug 31, 2017 | 16 y | 1 |
| A••••• P•••••• M•••••••••Certified Financial Planner | Knoxville, Tn | Sep 12, 2022 | 15 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
- S•••••• S•••••• H••• from R••••••••• P••••••• S•••••••• L••Aug 31, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• S••••••• S•••••• · President, Chief Compliance Officer, Membercontrolsince 07/2017 · owns 75% or more
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 5, 2026hourly charges (Item 5.E.2): no on the filing of 2025-11-14, yes on the filing of 2026-03-05peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 492 to 510Nov 14, 2025 to Mar 5, 2026
- HNW clients · 110 to 115Nov 14, 2025 to Mar 5, 2026
- Individual clients · 131 to 133Nov 14, 2025 to Mar 5, 2026
- Assets in custody · $26.1M to $28.8MNov 14, 2025 to Mar 5, 2026
- Discretionary RAUM · $197M to $246MNov 14, 2025 to Mar 5, 2026
- HNW RAUM · $148M to $176MNov 14, 2025 to Mar 5, 2026
- Individual RAUM · $43.2M to $48.1MNov 14, 2025 to Mar 5, 2026
- RAUM · $197M to $246MNov 14, 2025 to Mar 5, 2026
- Advisory activities · 2 to 3Feb 18, 2025 to Aug 15, 2025
- Accounts · 480 to 492Nov 13, 2024 to Feb 18, 2025
- HNW clients · 100 to 110Nov 13, 2024 to Feb 18, 2025
- Individual clients · 130 to 131Nov 13, 2024 to Feb 18, 2025
- Assets in custody · $176M to $26.1MNov 13, 2024 to Feb 18, 2025
- Employees · 5 to 6Nov 13, 2024 to Feb 18, 2025
- Financial planning clients · 101-250 to 101-250Nov 13, 2024 to Feb 18, 2025
- Discretionary RAUM · $176M to $197MNov 13, 2024 to Feb 18, 2025
- HNW RAUM · $133M to $148MNov 13, 2024 to Feb 18, 2025
- Individual RAUM · $39.9M to $43.2MNov 13, 2024 to Feb 18, 2025
- RAUM · $176M to $197MNov 13, 2024 to Feb 18, 2025
- Accounts · 442 to 480Sep 29, 2023 to Jan 30, 2024
- Charity clients · 0.0 to unsetSep 29, 2023 to Jan 30, 2024
- HNW clients · 103 to 100Sep 29, 2023 to Jan 30, 2024
- Individual clients · 124 to 130Sep 29, 2023 to Jan 30, 2024
- Assets in custody · $134M to $176MSep 29, 2023 to Jan 30, 2024
- Discretionary RAUM · $148M to $176MSep 29, 2023 to Jan 30, 2024
- HNW RAUM · $114M to $133MSep 29, 2023 to Jan 30, 2024
- Individual RAUM · $33.7M to $39.9MSep 29, 2023 to Jan 30, 2024
- RAUM · $148M to $176MSep 29, 2023 to Jan 30, 2024
- Accounts · 413 to 442Feb 9, 2022 to Jan 31, 2023
- Advisory employees · 1 to 2Feb 9, 2022 to Jan 31, 2023
- HNW clients · 90 to 103Feb 9, 2022 to Jan 31, 2023
- Individual clients · 125 to 124Feb 9, 2022 to Jan 31, 2023
- Assets in custody · $139M to $134MFeb 9, 2022 to Jan 31, 2023
- State-registered IARs · 1 to 2Feb 9, 2022 to Jan 31, 2023
- Discretionary RAUM · $154M to $148MFeb 9, 2022 to Jan 31, 2023
- HNW RAUM · $113M to $114MFeb 9, 2022 to Jan 31, 2023
- Individual RAUM · $40.5M to $33.7MFeb 9, 2022 to Jan 31, 2023
- RAUM · $154M to $148MFeb 9, 2022 to Jan 31, 2023
- Accounts · 342 to 413Nov 19, 2021 to Feb 9, 2022
- HNW clients · 71 to 90Nov 19, 2021 to Feb 9, 2022
Signals
1 dated events
- R••••••••• P••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Nov 19, 2020 · 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
- Website
- secondhalfstewardship.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (865) 220-9311reportedpublic record, Form ADV, Mar 5, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026