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
C•••••••••
Legal name C••••••••• W••••• A•••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Apr 27, 2022 · 14 filings
SEC status approved since May 26, 2022
RAUM
$606M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$474M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$121M
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
14 filings and snapshots on the tape
RAUM$606M as of Jul 14, 2026
Mar 17, 2023$106M then
HNW client RAUM$440M as of Jul 14, 2026
Mar 17, 2023$67.2M then
State-registered IARs (5.B.3)4 as of Jul 14, 2026
Mar 17, 20232 then
Employees (5.A)5 as of Jul 14, 2026
Mar 17, 20232 then
Private funds: no history
RAUM +7.1% over the last fiscal year+79% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $463M, 72 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)
- 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$440M73%
- Charitable organizations$132M22%
- Individuals$33.5M5.5%
- Corporations and businesses$512,6720.1%
- Individual clients
- 68reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 418reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $463M for 72 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• V•••• B•••• | Knoxville, Tn | Jan 2, 2025 | 38 y | 5 |
| S••••••• R••• C•••••Certified Financial Planner | Knoxville, Tn | Jul 23, 2025 | 10 y | 2 |
| W••••• S•••••••• B••••Certified Financial Planner | Gloucester, Ma | Nov 3, 2025 | 18 y | 5 |
| J••••••••• K•••• K••••Certified Financial Planner | Windsor, Co | Feb 10, 2026 | 13 y | 3 |
| N••••••• L•• H••••••••Certified Financial Planner | Knoxville, Tn | May 12, 2026 | 16 y | 2 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- P•••• A•••••••• R••••••• to E••••• J••••Oct 15, 2024 · RIA to affiliated broker-dealer or bank
- J•••• K•••• G•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 15, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- N••••••• L•• H•••••••• from A•••• C•••• C•••••• L••May 12, 2026 · RIA to RIA
- J••••••••• K•••• K•••• from A•••• C•••• C•••••• L••Feb 10, 2026 · RIA to RIA
- W••••• S•••••••• B•••• from W••••••••• A••••••• P••••••• L••Nov 3, 2025 · RIA to RIA
- S••••••• R••• C••••• from M••••• F•••••••• C•••••••• I•••Jul 23, 2025 · RIA to RIA
- R••••• V•••• B•••• from W••••••••• A••••••• P••••••• L••Jan 2, 2025 · RIA to RIA
- J•••• K•••• G•••• from S•• A•••••••• I•••Jul 31, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• W•••••• S•••••••• · President, Ccocontrolsince 02/2021 · 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 | 5 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Jul 14, 2026 to Sep 10, 2026
- Other offices · 0 to 1Jul 14, 2026 to Sep 10, 2026
- Succession · false to unsetJul 14, 2026 to Sep 10, 2026
- Accounts · 413 to 418Jul 22, 2025 to Jan 30, 2026
- Advisory employees · 3 to 4Jul 22, 2025 to Jan 30, 2026
- Charity clients · unset to 3.0Jul 22, 2025 to Jan 30, 2026
- Corporate clients · unset to 3.0Jul 22, 2025 to Jan 30, 2026
- HNW clients · 37 to 44Jul 22, 2025 to Jan 30, 2026
- Individual clients · 77 to 68Jul 22, 2025 to Jan 30, 2026
- Assets in custody · $455M to $463MJul 22, 2025 to Jan 30, 2026
- Employees · 4 to 5Jul 22, 2025 to Jan 30, 2026
- Discretionary RAUM · $566M to $605MJul 22, 2025 to Jan 30, 2026
- HNW RAUM · $417M to $440MJul 22, 2025 to Jan 30, 2026
- Individual RAUM · $31.2M to $33.5MJul 22, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $0 to $724,946Jul 22, 2025 to Jan 30, 2026
- RAUM · $566M to $606MJul 22, 2025 to Jan 30, 2026
- Financial planning clients · 101-250 to 101-250Jun 24, 2025 to Jul 22, 2025
- Accounts · 394 to 413Aug 13, 2024 to Mar 12, 2025
- Advisory employees · 4 to 3Aug 13, 2024 to Mar 12, 2025
- Charity clients · 3.0 to unsetAug 13, 2024 to Mar 12, 2025
- HNW clients · 52 to 37Aug 13, 2024 to Mar 12, 2025
- Individual clients · 60 to 77Aug 13, 2024 to Mar 12, 2025
- Assets in custody · $509M to $455MAug 13, 2024 to Mar 12, 2025
- Discretionary RAUM · $626M to $566MAug 13, 2024 to Mar 12, 2025
- HNW RAUM · $490M to $417MAug 13, 2024 to Mar 12, 2025
- Individual RAUM · $22.4M to $31.2MAug 13, 2024 to Mar 12, 2025
- RAUM · $626M to $566MAug 13, 2024 to Mar 12, 2025
- Related insurance company · false to trueAug 13, 2024 to Mar 12, 2025
- Accounts · 382 to 394Mar 17, 2023 to Feb 21, 2024
- Advisory employees · 2 to 4Mar 17, 2023 to Feb 21, 2024
- Advisory activities · 3 to 4Mar 17, 2023 to Feb 21, 2024
- Charity clients · unset to 3.0Mar 17, 2023 to Feb 21, 2024
- HNW clients · 32 to 52Mar 17, 2023 to Feb 21, 2024
- Individual clients · 71 to 60Mar 17, 2023 to Feb 21, 2024
- Assets in custody · unset to 508697699.0Mar 17, 2023 to Feb 21, 2024
- Custody of client assets · false to trueMar 17, 2023 to Feb 21, 2024
- Employees · 2 to 4Mar 17, 2023 to Feb 21, 2024
- State-registered IARs · 2 to 4Mar 17, 2023 to Feb 21, 2024
- Discretionary RAUM · $106M to $626MMar 17, 2023 to Feb 21, 2024
- HNW RAUM · $67.2M to $490MMar 17, 2023 to Feb 21, 2024
Signals
4 dated events
- P•••• A•••••••• R••••••• left Cogentblue for E••••• J•••• (registered 2024-12-20)Oct 15, 2024 · Advisor changed firm · fact
- Cogentblue reported RAUM $625.8M, up 491% from $105.9M (2023-03-17 to 2024-02-21)Feb 21, 2024 · RAUM change · derived
- J•••• K•••• G•••• left Cogentblue for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-06-12)Dec 15, 2023 · Advisor changed firm · fact
- Cogentblue filed its initial SEC registration (Form ADV)Apr 27, 2022 · 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 phone
- 865-309-5892reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cogentbluewealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 865-309-5892reportedpublic record, Form ADV, Sep 10, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026