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••••••••• W••••• M••••••••• G••••
Legal name C••••••••• W•••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jan 21, 2022 · 15 filings
SEC status approved since Mar 1, 2022
RAUM
$285M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$265M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$94.9M
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
15 filings and snapshots on the tape
RAUM$285M as of Mar 11, 2026
Feb 14, 2023$155M then
HNW client RAUM$115M as of Mar 11, 2026
Feb 14, 2023$44.0M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Feb 14, 20233 then
Employees (5.A)6 as of Mar 11, 2026
Feb 14, 20233 then
Private funds: no history
RAUM +16% over the last fiscal year+22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $94.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 189derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $199,780derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- $172MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$150M53%
- High-net-worth individuals$115M40%
- Pension and profit-sharing plans$14.8M5.2%
- Charitable organizations$4.3M1.5%
- Individual clients
- 503reported
- HNW clients
- 64reported
- Pension plan clients
- 5reported
- Charitable clients
- 7reported
- Accounts
- 1,425reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••• C••••Certified Financial Planner | Greeneville, Tn | Jun 17, 2021 | 27 y | 3 |
| G••••• R••••• S••••Certified Financial Planner | Greeneville, Tn | Jan 7, 2022 | 13 y | 1 |
| A••• R••••• R•••• | Greeneville, Tn | Aug 25, 2023 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- A••••• L••••• J••••• to P•••••• A•••••• G••••• L••Jan 6, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- G••••• R••••• S•••• from E••••• J••••Jan 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• L••••• J••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••• J••• C•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 17, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 13, 2021 · Greeneville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• B••••• J••• · Managing Member & Chief Compliance Officercontrolsince 11/2019 · owns 75% or more
- S••••• G•••••• R••••• · Partnersince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••••••• R••• M••••••••• G••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greeneville, Tn · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,421 to 1,425Nov 6, 2025 to Mar 11, 2026
- Charity clients · 6 to 7Nov 6, 2025 to Mar 11, 2026
- HNW clients · 57 to 64Nov 6, 2025 to Mar 11, 2026
- Individual clients · 508 to 503Nov 6, 2025 to Mar 11, 2026
- Pension plan clients · 4 to 5Nov 6, 2025 to Mar 11, 2026
- Discretionary RAUM · $227M to $266MNov 6, 2025 to Mar 11, 2026
- HNW RAUM · $101M to $115MNov 6, 2025 to Mar 11, 2026
- Individual RAUM · $131M to $150MNov 6, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $17.6M to $19.1MNov 6, 2025 to Mar 11, 2026
- Pension RAUM · $10.3M to $14.8MNov 6, 2025 to Mar 11, 2026
- RAUM · $244M to $285MNov 6, 2025 to Mar 11, 2026
- Accounts · 1,275 to 1,421Mar 14, 2024 to Apr 2, 2025
- Charity clients · 4 to 6Mar 14, 2024 to Apr 2, 2025
- HNW clients · 51 to 57Mar 14, 2024 to Apr 2, 2025
- Individual clients · 482 to 508Mar 14, 2024 to Apr 2, 2025
- Pension plan clients · 27 to 4Mar 14, 2024 to Apr 2, 2025
- Financial planning clients · 51-100 to 51-100Mar 14, 2024 to Apr 2, 2025
- Discretionary RAUM · $173M to $227MMar 14, 2024 to Apr 2, 2025
- HNW RAUM · $81.1M to $101MMar 14, 2024 to Apr 2, 2025
- Individual RAUM · $96.9M to $131MMar 14, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $17.7M to $17.6MMar 14, 2024 to Apr 2, 2025
- Pension RAUM · $11.1M to $10.3MMar 14, 2024 to Apr 2, 2025
- RAUM · $191M to $244MMar 14, 2024 to Apr 2, 2025
- Accounts · 860 to 1,275Feb 14, 2023 to Mar 14, 2024
- Advisory employees · 3 to 4Feb 14, 2023 to Mar 14, 2024
- Advisory activities · 2 to 3Feb 14, 2023 to Mar 14, 2024
- Charity clients · 1 to 4Feb 14, 2023 to Mar 14, 2024
- HNW clients · 32 to 51Feb 14, 2023 to Mar 14, 2024
- Individual clients · 650 to 482Feb 14, 2023 to Mar 14, 2024
- Pension plan clients · 6 to 27Feb 14, 2023 to Mar 14, 2024
- Employees · 3 to 6Feb 14, 2023 to Mar 14, 2024
- State-registered IARs · 3 to 4Feb 14, 2023 to Mar 14, 2024
- Discretionary RAUM · $140M to $173MFeb 14, 2023 to Mar 14, 2024
- HNW RAUM · $44.0M to $81.1MFeb 14, 2023 to Mar 14, 2024
- Individual RAUM · $96.0M to $96.9MFeb 14, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $15.0M to $17.7MFeb 14, 2023 to Mar 14, 2024
- Pension RAUM · $13.5M to $11.1MFeb 14, 2023 to Mar 14, 2024
- RAUM · $155M to $191MFeb 14, 2023 to Mar 14, 2024
- Wrap assets (manager) · $125M to $0Feb 14, 2023 to Mar 14, 2024
- Accounts · 702 to 860Feb 7, 2023 to Feb 14, 2023
Signals
2 dated events
- A••••• L••••• J••••• left C••••••••• W••••• M••••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2026-01-05)Jan 6, 2026 · a•••••• firm change · fact
- C••••••••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Jan 21, 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
- 423-972-4830reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 423-588-7151reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 423-370-1266reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 423-588-7151reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $94.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026