DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A••••••• W••••• M••••••••• P••••••• L••

Independent wealth managerKnoxville, TennesseeCRD 313195SEC 801-121597website IAPD

Latest filing Mar 23, 2026

First filing on the tape Mar 20, 2021 · 24 filings

SEC status approved since Jun 25, 2021

RAUM

$272M

reported, Item 5.F

Discretionary

77%

of RAUM

Private clients

79%

$216M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$54.5M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$272M as of Mar 23, 2026

Mar 10, 2022$150M then

HNW client RAUM$105M as of Mar 23, 2026

Mar 10, 2022$60.7M then

State-registered IARs (5.B.3)5 as of Mar 23, 2026

Mar 10, 20225 then

Employees (5.A)13 as of Mar 23, 2026

Mar 10, 202210 then

Private funds: no history

RAUM +16% over the last fiscal year+20% a year over threeIARs 6 to 5

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes, each a printed rule

Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $54.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 141derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $933,159derivedHNW RAUM over HNW clients
Average account: $166,405derivedRAUM over accounts (5.F.2.f)
Discretionary: 77%derivedof RAUM
Institutional: 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.6derivedItem 5.A over advisors
Advisors per office: 1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: -17%derivedItem 5.B.3 between annual amendments
Client growth, one year: +26%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
Wrap fee program: $272MreportedItem 5.I
Custody: $8.5M, 17 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$111M41%
High-net-worth individuals$105M38%
Pension and profit-sharing plans$56.7M21%

Individual clients: 594reported
HNW clients: 112reported
Pension plan clients: 58reported
Charitable clients: n/areported
Accounts: 1,637reported
Financial planning clients: 1-10reported
Wrap fee programs: $56.7M sponsored, $0 managedreported
Custody of client assets: $8.5M for 17 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.79 fund_share=0.0 institutional_share=0.21 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
P•••••• N••• C••••	Knoxville, Tn	Aug 18, 2021	26 y	2
M•••••• C•• L•••••	Knoxville, Tn	Aug 18, 2021	18 y	3
K•••••• D••••••• B••••••Certified Financial Planner	Knoxville, Tn	Aug 18, 2021	15 y	1
L••• H•••••• B•••••Certified Financial Planner	Alcoa, Tn	Aug 18, 2021	40 y	2
M•••••• B••••• B•••••	Knoxville, Tn	Aug 18, 2021	23 y	3

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

Joined, latest

P•••••• N••• C•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Aug 18, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
L••• H•••••• B••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Aug 18, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
M•••••• B••••• B••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Aug 18, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
K•••••• D••••••• B•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Aug 18, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
M•••••• C•• L••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Aug 18, 2021 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

5 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••
Dec 31, 2021 · Knoxville, Tn

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• L•••• H•••••• · Member / Director Of Financial Planningcontrol
since 03/2021 · owns 10% to 25%
B•••••• M••••••• B••••• · Member / Partner / Chief Compliance Officercontrol
since 03/2021 · owns 10% to 25%
C••••• P••••••• N••• · Managing Member / Partnercontrol
since 03/2021 · owns 25% to 50%
L•••••• M••••••• C•• · Membercontrol
since 03/2021 · owns 25% to 50%

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	0	0
Alcoa, Tn	2	0	0

Offices

Schedule D 1.F, the 25 largest

Alcoa, TN2 employees
Athens, TN1 employees
Calhoun, TN1 employees

What changed

consecutive filings, newest first

Accounts · 1,310 to 1,637
Feb 27, 2025 to Mar 23, 2026
Advisory employees · 6 to 5
Feb 27, 2025 to Mar 23, 2026
HNW clients · 101 to 112
Feb 27, 2025 to Mar 23, 2026
Individual clients · 458 to 594
Feb 27, 2025 to Mar 23, 2026
Pension plan clients · 47 to 58
Feb 27, 2025 to Mar 23, 2026
Assets in custody · $1.0M to $8.5M
Feb 27, 2025 to Mar 23, 2026
State-registered IARs · 6 to 5
Feb 27, 2025 to Mar 23, 2026
Discretionary RAUM · $185M to $211M
Feb 27, 2025 to Mar 23, 2026
HNW RAUM · $96.2M to $105M
Feb 27, 2025 to Mar 23, 2026
Individual RAUM · $91.0M to $111M
Feb 27, 2025 to Mar 23, 2026
Non-discretionary RAUM · $50.0M to $61.7M
Feb 27, 2025 to Mar 23, 2026
Pension RAUM · $47.4M to $56.7M
Feb 27, 2025 to Mar 23, 2026
RAUM · $235M to $272M
Feb 27, 2025 to Mar 23, 2026
Wrap assets (sponsor) · $9.9M to $56.7M
Feb 27, 2025 to Mar 23, 2026
Accounts · 2,760 to 1,310
Feb 9, 2024 to Feb 27, 2025
Advisory activities · 3 to 4
Feb 9, 2024 to Feb 27, 2025
Corporate clients · 0.0 to unset
Feb 9, 2024 to Feb 27, 2025
HNW clients · 102 to 101
Feb 9, 2024 to Feb 27, 2025
Individual clients · 485 to 458
Feb 9, 2024 to Feb 27, 2025
Pension plan clients · 14 to 47
Feb 9, 2024 to Feb 27, 2025
Pooled vehicle clients · 0.0 to unset
Feb 9, 2024 to Feb 27, 2025
Assets in custody · $19.2M to $1.0M
Feb 9, 2024 to Feb 27, 2025
Employees · 12 to 13
Feb 9, 2024 to Feb 27, 2025
Financial planning clients · 1-10 to 1-10
Feb 9, 2024 to Feb 27, 2025
Discretionary RAUM · $184M to $185M
Feb 9, 2024 to Feb 27, 2025
HNW RAUM · $75.7M to $96.2M
Feb 9, 2024 to Feb 27, 2025
Individual RAUM · $70.8M to $91.0M
Feb 9, 2024 to Feb 27, 2025
Non-discretionary RAUM · $0 to $50.0M
Feb 9, 2024 to Feb 27, 2025
Pension RAUM · $37.8M to $47.4M
Feb 9, 2024 to Feb 27, 2025
Pooled vehicle RAUM · 0.0 to unset
Feb 9, 2024 to Feb 27, 2025
RAUM · $184M to $235M
Feb 9, 2024 to Feb 27, 2025
Wrap assets (sponsor) · $0 to $9.9M
Feb 9, 2024 to Feb 27, 2025
Accounts · 644 to 2,760
Feb 2, 2023 to Feb 9, 2024
Advisory employees · 5 to 6
Feb 2, 2023 to Feb 9, 2024
HNW clients · 98 to 102
Feb 2, 2023 to Feb 9, 2024
Individual clients · 427 to 485
Feb 2, 2023 to Feb 9, 2024
Pension plan clients · 40 to 14
Feb 2, 2023 to Feb 9, 2024
Assets in custody · unset to 19220000.0
Feb 2, 2023 to Feb 9, 2024
Custody of client assets · false to true
Feb 2, 2023 to Feb 9, 2024
Employees · 11 to 12
Feb 2, 2023 to Feb 9, 2024

Signals

3 dated events

Lucian Paul Wetherall (Member) no longer on Schedule A of A••••••• W••••• M••••••••• P••••••• L•• (listed 2021-06-21, absent 2021-07-22)
Jul 22, 2021 · Control person left · inference
Anne Charissa L•••••• (Chief Compliance Officer) no longer on Schedule A of A••••••• W••••• M••••••••• P••••••• L•• (listed 2021-06-21, absent 2021-07-22)
Jul 22, 2021 · Control person left · inference
A••••••• W••••• M••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
Mar 20, 2021 · 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: 865-268-8001reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 865-862-5956reportedpublished by the firm, firm site, Sep 16, 2026
Website: corebi.netreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (865) 862-5956reportedpublic record, Form ADV, Mar 23, 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: $54.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026