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•••• A••••••••• I••••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Aug 11, 2025 · 3 filings
SEC status approved since Aug 12, 2025
RAUM
$815M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$815M as of Mar 27, 2026
Aug 11, 2025$781M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Aug 11, 20250 then
Employees (5.A)18 as of Mar 27, 2026
Aug 11, 202518 then
Private funds2 as of Mar 27, 2026
Aug 11, 20254 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $408MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $815M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$815M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $815M for 2 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• B••••• · Senior Partnercontrolsince 12/2016 · owns less than 5%
- B••••• W••••••• C•••• · Vice President / Secretary / Limited Partnercontrolsince 12/2016 · owns 10% to 25%
- B••••••••• M••••••• D••• · Managing Partner / Limited Partnercontrolsince 12/2016 · owns 10% to 25%
- C•••• C•••••••• L•••• · Cco/Treasurercontrolsince 12/2016 · owns less than 5%
- J••••• J•••• M••••••• · Vice President / Limited Partnercontrolsince 12/2016 · owns 10% to 25%
- K•••• J•••••••• F••••••• · Vice President / Limited Partnercontrolsince 04/2019 · owns less than 5%
- L••••• B••••• T•••• · Vice President / Limited Partnercontrolsince 01/2017 · owns less than 5%
- P••••••• G•••••• H••••• P••••• · Vice President / Limited Partnercontrolsince 12/2016 · owns 10% to 25%
- V••••• B•••••••• S••••• · Vice President / Limited Partnercontrolsince 01/2017 · owns less than 5%
Entity owners
- R•••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 11 to 13Oct 28, 2025 to Mar 27, 2026
- Assets in custody · $767M to $815MOct 28, 2025 to Mar 27, 2026
- Employees · 17 to 18Oct 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $767M to $815MOct 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $767M to $815MOct 28, 2025 to Mar 27, 2026
- RAUM · $767M to $815MOct 28, 2025 to Mar 27, 2026
- Accounts · 4 to 2Aug 11, 2025 to Oct 28, 2025
- Advisory employees · 12 to 11Aug 11, 2025 to Oct 28, 2025
- Pooled vehicle clients · 4 to 2Aug 11, 2025 to Oct 28, 2025
- Assets in custody · $781M to $767MAug 11, 2025 to Oct 28, 2025
- Employees · 18 to 17Aug 11, 2025 to Oct 28, 2025
- Private funds · 4 to 2Aug 11, 2025 to Oct 28, 2025
- Discretionary RAUM · $781M to $767MAug 11, 2025 to Oct 28, 2025
- Pooled vehicle RAUM · $781M to $767MAug 11, 2025 to Oct 28, 2025
- RAUM · $781M to $767MAug 11, 2025 to Oct 28, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- R•••• A••••••••• I••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- R•••• A••••••••• I••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/R••••-ASSOCIATESreportedpublic record, Form ADV, Sep 19, 2026
- Website
- R••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 423-755-0888reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026