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

R••• C•••••• P•••••••

Independent wealth managerJohnson City, TennesseeCRD 293119SEC 801-135438websiteIAPD
Legal name R••• C•••••• P•••••••• L••
Latest filing Aug 7, 2026
First filing on the tape Jan 28, 2026 · 2 filings
SEC status approved since Mar 2, 2026
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$152M as of Aug 7, 2026
Jan 28, 2026$152M then
HNW client RAUM$90.4M as of Aug 7, 2026
Jan 28, 2026$90.4M then
State-registered IARs (5.B.3)4 as of Aug 7, 2026
Jan 28, 20264 then
Employees (5.A)5 as of Aug 7, 2026
Jan 28, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 7, 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
$38.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
82derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$270,024derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • 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$90.4M59%
  • Individuals$61.6M41%
Individual clients
284reported
HNW clients
44reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
563reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•• L•••• G••••••Johnson City, TnFeb 8, 202430 y4
R•••••• L••••• T••••• B•••••Certified Financial PlannerJohnson City, TnJun 4, 202420 y0
J•••••• P••• K••••••Johnson City, TnAug 17, 202420 y5
R••••• T••••• G••••Johnson City, Tn Jan 27, 202537 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• J••• L•••• · Chief Compliance Officer/Managing Partner And Co-Foundercontrol
      since 01/2018 · owns 50% to 75%
    • K••••••• J••••••• P••• · Chief Investment Officer/Ownercontrol
      since 04/2024 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Johnson City, Tn · principal400
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    423-631-5786reportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    423-737-6103reportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    865-482-4211reportedpublished by the firm, firm site, Sep 17, 2026
    Firm profile
    linkedin.com/company/roancapitalpartnersreportedpublic record, Form ADV, Sep 18, 2026
    Website
    R•••CP.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (423) 631-5786reportedpublic record, Form ADV, Aug 7, 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
    $38.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026