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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Former SEC-registered adviser
C•••••••• C•••••• A••••••• L••
Latest filing Jul 25, 2024
First filing on the tape Apr 4, 2018 · 14 filings
SEC status approved since Apr 30, 2018
RAUM
$461M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$442M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$461M as of Mar 6, 2024
Feb 26, 2019$304M then
HNW client RAUM$316M as of Mar 6, 2024
Feb 26, 2019$182M then
State-registered IARs (5.B.3)4 as of Mar 6, 2024
Feb 26, 20193 then
Employees (5.A)6 as of Mar 6, 2024
Feb 26, 20195 then
Private funds: no history
RAUM +16% over the last fiscal year+6.3% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jul 25, 2024; every figure names its basis
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $440,747derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $449MreportedItem 5.I
- Custody
- $10.2M, 15 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)
- 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$316M69%
- Individuals$126M27%
- Corporations and businesses$15.0M3.3%
- Charitable organizations$4.0M0.9%
- Individual clients
- 255reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,045reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $10.2M for 15 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
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
- M•••• T••••• S•••••• to E• W••••• A•••••••Mar 28, 2025 · RIA to RIA
- M••• T••••• P••••• to E• W••••• A•••••••Mar 28, 2025 · RIA to RIA
- A•••• W••••• H••••• to E• W••••• A•••••••Mar 28, 2025 · RIA to RIA
- S•••• A•••••••• F•••••• to E• W••••• A•••••••Mar 28, 2025 · RIA to RIA
Joined, latest
- M••• T••••• P••••• from W•••• F•••• A•••••••Jun 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•••• W••••• H••••• from W•••• F•••• A•••••••Jun 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• A•••••••• F•••••• from W•••• F•••• A•••••••Jun 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for E• W••••• A•••••••Mar 28, 2025 · Nashville, Tn · Firm absorbed
- 3 joined from W•••• F•••• A•••••••Jun 1, 2018 · Nashville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• A••••• W••••• · Managing Membercontrolsince 11/2005 · owns 25% to 50%
- P•••••• M•••• T••••• · Managing Membercontrolsince 01/2013 · owns 25% to 50%
- F••••••• S••••• A•••••••• · Member And Chief Compliance Officersince 01/2018 · owns 10% to 25%
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 | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 946 to 1,045Jan 3, 2024 to Mar 6, 2024
- Advisory employees · 3 to 4Jan 3, 2024 to Mar 6, 2024
- HNW clients · 83 to 97Jan 3, 2024 to Mar 6, 2024
- Individual clients · 292 to 255Jan 3, 2024 to Mar 6, 2024
- Assets in custody · $23.5M to $10.2MJan 3, 2024 to Mar 6, 2024
- State-registered IARs · 3 to 4Jan 3, 2024 to Mar 6, 2024
- Discretionary RAUM · $397M to $461MJan 3, 2024 to Mar 6, 2024
- HNW RAUM · $257M to $316MJan 3, 2024 to Mar 6, 2024
- Individual RAUM · $123M to $126MJan 3, 2024 to Mar 6, 2024
- RAUM · $397M to $461MJan 3, 2024 to Mar 6, 2024
- Accounts · 988 to 946Mar 1, 2022 to Mar 10, 2023
- HNW clients · 102 to 83Mar 1, 2022 to Mar 10, 2023
- Individual clients · 272 to 292Mar 1, 2022 to Mar 10, 2023
- Assets in custody · $55,295 to $23.5MMar 1, 2022 to Mar 10, 2023
- Financial planning clients · 1-10 to 0Mar 1, 2022 to Mar 10, 2023
- Discretionary RAUM · $454M to $397MMar 1, 2022 to Mar 10, 2023
- HNW RAUM · $328M to $257MMar 1, 2022 to Mar 10, 2023
- Individual RAUM · $98.2M to $123MMar 1, 2022 to Mar 10, 2023
- RAUM · $454M to $397MMar 1, 2022 to Mar 10, 2023
- Accounts · 1,034 to 988Mar 15, 2021 to Mar 1, 2022
- Charity clients · 3.0 to unsetMar 15, 2021 to Mar 1, 2022
- Corporate clients · 2.0 to unsetMar 15, 2021 to Mar 1, 2022
- HNW clients · 112 to 102Mar 15, 2021 to Mar 1, 2022
- Pension plan clients · 0.0 to unsetMar 15, 2021 to Mar 1, 2022
- Pooled vehicle clients · 0.0 to unsetMar 15, 2021 to Mar 1, 2022
- Assets in custody · $48.0M to $55,295Mar 15, 2021 to Mar 1, 2022
- Discretionary RAUM · $384M to $454MMar 15, 2021 to Mar 1, 2022
- HNW RAUM · $291M to $328MMar 15, 2021 to Mar 1, 2022
- Individual RAUM · $68.9M to $98.2MMar 15, 2021 to Mar 1, 2022
- Pension RAUM · 0.0 to unsetMar 15, 2021 to Mar 1, 2022
- Pooled vehicle RAUM · 0.0 to unsetMar 15, 2021 to Mar 1, 2022
- RAUM · $384M to $454MMar 15, 2021 to Mar 1, 2022
- Accounts · 983 to 1,034Jun 9, 2020 to Mar 15, 2021
- Advisory activities · 3 to 4Jun 9, 2020 to Mar 15, 2021
- Charity clients · unset to 3.0Jun 9, 2020 to Mar 15, 2021
- Corporate clients · unset to 2.0Jun 9, 2020 to Mar 15, 2021
- HNW clients · 82 to 112Jun 9, 2020 to Mar 15, 2021
- Individual clients · 291 to 272Jun 9, 2020 to Mar 15, 2021
- Pension plan clients · unset to 0.0Jun 9, 2020 to Mar 15, 2021
- Pooled vehicle clients · unset to 0.0Jun 9, 2020 to Mar 15, 2021
Signals
7 dated events
- C•••••••• C•••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $460.6M)May 2, 2025 · Left the SEC roster · derived
- M••• T••••• P••••• left C•••••••• C•••••• A••••••• L•• for E• W••••• A••••••• (registered 2025-02-20)Mar 28, 2025 · Advisor changed firm · fact
- M•••• T••••• S•••••• left C•••••••• C•••••• A••••••• L•• for E• W••••• A••••••• (registered 2025-02-11)Mar 28, 2025 · Advisor changed firm · fact
- A•••• W••••• H••••• left C•••••••• C•••••• A••••••• L•• for E• W••••• A••••••• (registered 2025-02-20)Mar 28, 2025 · Advisor changed firm · fact
- S•••• A•••••••• F•••••• left C•••••••• C•••••• A••••••• L•• for E• W••••• A••••••• (registered 2025-02-07)Mar 28, 2025 · Advisor changed firm · fact
- C•••••••• C•••••• A••••••• L••'s advisors moved to E• W••••• A••••••• (Nashville, TN): 4 of 4 registered, on the same dayMar 28, 2025 · Firm absorbed (people side) · derived
- C•••••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 4, 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.
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
- Former SEC-registered adviserderiveda 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