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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R••••••••• S•••••••• G••••• I•••

Former SEC-registered adviserCookeville, TennesseeCRD 313166SEC 801-123599websiteIAPD
Latest filing Dec 21, 2024
First filing on the tape Mar 2, 2022 · 13 filings
SEC status approved since May 25, 2022
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$26.8M as of Jan 18, 2024
Mar 30, 2023$41.6M then
HNW client RAUM$2.0M as of Jan 18, 2024
Mar 30, 2023$20.4M then
State-registered IARs (5.B.3)2 as of Jan 18, 2024
Mar 30, 20233 then
Employees (5.A)3 as of Jan 18, 2024
Mar 30, 20233 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2offices 2 to 0
Practice profile
derived from the filing of Dec 21, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-36%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • W•••••• D•••••• A•••••• · Co-Owner/President/Chief Compliance Officercontrol
    since 02/2021 · owns 50% to 75%
  • W•••••• M••••• C•••••••• · Co-Owner/Secretary/Treasurercontrol
    since 02/2021 · 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
Cookeville, Tn · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 583.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Charity clients · 0.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Corporate clients · 0.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Individual clients · 270.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Pension plan clients · 0.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Pooled vehicle clients · 0.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Discretionary RAUM · 26798491.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • HNW RAUM · 2000000.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Individual RAUM · 24798491.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Non-discretionary RAUM · 0.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Pension RAUM · 0.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Pooled vehicle RAUM · 0.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • RAUM · 26798491.0 to unset
    Jan 18, 2024 to Oct 11, 2024
  • Accounts · 632 to 583
    Nov 17, 2023 to Jan 18, 2024
  • Advisory employees · 3 to 2
    Nov 17, 2023 to Jan 18, 2024
  • HNW clients · 54.0 to unset
    Nov 17, 2023 to Jan 18, 2024
  • Individual clients · 578 to 270
    Nov 17, 2023 to Jan 18, 2024
  • State-registered IARs · 3 to 2
    Nov 17, 2023 to Jan 18, 2024
  • Other offices · 2 to 0
    Nov 17, 2023 to Jan 18, 2024
  • Discretionary RAUM · $41.6M to $26.8M
    Nov 17, 2023 to Jan 18, 2024
  • HNW RAUM · $20.4M to $2.0M
    Nov 17, 2023 to Jan 18, 2024
  • Individual RAUM · $21.2M to $24.8M
    Nov 17, 2023 to Jan 18, 2024
  • RAUM · $41.6M to $26.8M
    Nov 17, 2023 to Jan 18, 2024
  • Accounts · 321 to 632
    Dec 1, 2022 to Mar 30, 2023
  • HNW clients · 22 to 54
    Dec 1, 2022 to Mar 30, 2023
  • Individual clients · 299 to 578
    Dec 1, 2022 to Mar 30, 2023
  • Employees · 4 to 3
    Dec 1, 2022 to Mar 30, 2023
  • Insurance-licensed employees · 1 to 0
    Dec 1, 2022 to Mar 30, 2023
  • Discretionary RAUM · $46.2M to $41.6M
    Dec 1, 2022 to Mar 30, 2023
  • HNW RAUM · $19.7M to $20.4M
    Dec 1, 2022 to Mar 30, 2023
  • Individual RAUM · $26.5M to $21.2M
    Dec 1, 2022 to Mar 30, 2023
  • RAUM · $46.2M to $41.6M
    Dec 1, 2022 to Mar 30, 2023
Signals
4 dated events
  • R••••••••• S•••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-01-02)
    Feb 3, 2025 · Left the SEC roster · derived
  • A•••••• A•••• W••••• left R••••••••• S•••••••• G••••• I••• for C••••••• A•••• M••••••••• L•• (registered 2024-05-21)
    Aug 1, 2024 · Advisor changed firm · fact
  • J•••• M•••••• P••••• left R••••••••• S•••••••• G••••• I••• for F•••• I••••••• S••••••• (registered 2023-09-14)
    Sep 15, 2023 · Advisor changed firm · fact
  • R••••••••• S•••••••• G••••• I••• filed its initial SEC registration (Form ADV)
    Mar 2, 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.
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