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
P•••••• P•••••• W•••••• L••
Latest filing Nov 17, 2025
First filing on the tape Jun 15, 2021 · 12 filings
SEC status approved since Jul 16, 2021
RAUM
$264M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$252M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$264M as of Nov 17, 2025
Mar 3, 2022$299M then
HNW client RAUM$204M as of Nov 17, 2025
Mar 3, 2022$223M then
State-registered IARs (5.B.3)3 as of Nov 17, 2025
Mar 3, 20223 then
Employees (5.A)8 as of Nov 17, 2025
Mar 3, 20226 then
Private funds: no history
RAUM +11% over the last fiscal year-4.1% a year over threeIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Nov 17, 2025; every figure names its basis
- RAUM per advisor
- $87.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $62.1M, 48 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M77%
- Individuals$48.3M18%
- Charitable organizations$7.7M2.9%
- Corporations and businesses$4.0M1.5%
- Individual clients
- 114reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 197reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.1M for 48 clientsreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- M•••••• R•• C••••••• to S••••• W••••• G••••Feb 11, 2026 · RIA to RIA
- C••••••••• J•••• H••••• to H••••• F•••••••• G••••Nov 25, 2025 · RIA to a state-registered adviser
- K••• V••••• to S••••••••• W••••• P•••••••Apr 14, 2025 · RIA to RIA
Joined, latest
- M•••••• R•• C••••••• from C••••••••• F•••••••• N••••••Jul 20, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• J•••• H••••• from C••••••••• F•••••••• N••••••Jul 20, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••••• D• · Member & Client Communications Associatecontrolsince 01/2019 · owns 25% to 50%
- C•••••••• M••••••• R•• · President & Chief Compliance Officercontrolsince 04/1999 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Franklin, Tn · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 460 to 197Nov 22, 2024 to Mar 5, 2025
- Corporate clients · unset to 5.0Nov 22, 2024 to Mar 5, 2025
- HNW clients · 68 to 74Nov 22, 2024 to Mar 5, 2025
- Individual clients · 110 to 114Nov 22, 2024 to Mar 5, 2025
- Assets in custody · $62.1M to $62.1MNov 22, 2024 to Mar 5, 2025
- Financial planning clients · 26-50 to 26-50Nov 22, 2024 to Mar 5, 2025
- Other offices · 1 to 0Nov 22, 2024 to Mar 5, 2025
- Discretionary RAUM · $237M to $264MNov 22, 2024 to Mar 5, 2025
- HNW RAUM · $181M to $204MNov 22, 2024 to Mar 5, 2025
- Individual RAUM · $46.3M to $48.3MNov 22, 2024 to Mar 5, 2025
- RAUM · $237M to $264MNov 22, 2024 to Mar 5, 2025
- Accounts · 188 to 460Jul 5, 2023 to Feb 27, 2024
- Corporate clients · 6.0 to unsetJul 5, 2023 to Feb 27, 2024
- HNW clients · 65 to 68Jul 5, 2023 to Feb 27, 2024
- Individual clients · 116 to 110Jul 5, 2023 to Feb 27, 2024
- Assets in custody · $61.8M to $62.1MJul 5, 2023 to Feb 27, 2024
- Employees · 7 to 8Jul 5, 2023 to Feb 27, 2024
- Other offices · 0 to 1Jul 5, 2023 to Feb 27, 2024
- Discretionary RAUM · $227M to $237MJul 5, 2023 to Feb 27, 2024
- HNW RAUM · $170M to $181MJul 5, 2023 to Feb 27, 2024
- Individual RAUM · $48.4M to $46.3MJul 5, 2023 to Feb 27, 2024
- RAUM · $227M to $237MJul 5, 2023 to Feb 27, 2024
- HQ city · BRENTWOOD to FRANKLINMar 7, 2023 to Jul 5, 2023
- Accounts · 486 to 188Mar 3, 2022 to Mar 7, 2023
- Charity clients · 5.0 to unsetMar 3, 2022 to Mar 7, 2023
- Corporate clients · 7 to 6Mar 3, 2022 to Mar 7, 2023
- HNW clients · 62 to 65Mar 3, 2022 to Mar 7, 2023
- Individual clients · 180 to 116Mar 3, 2022 to Mar 7, 2023
- Assets in custody · $136M to $61.8MMar 3, 2022 to Mar 7, 2023
- Employees · 6 to 7Mar 3, 2022 to Mar 7, 2023
- Financial planning clients · 11-25 to 26-50Mar 3, 2022 to Mar 7, 2023
- Discretionary RAUM · $299M to $227MMar 3, 2022 to Mar 7, 2023
- HNW RAUM · $223M to $170MMar 3, 2022 to Mar 7, 2023
- Individual RAUM · $65.7M to $48.4MMar 3, 2022 to Mar 7, 2023
- RAUM · $299M to $227MMar 3, 2022 to Mar 7, 2023
- Accounts · 481 to 486Nov 15, 2021 to Mar 3, 2022
- Corporate clients · 5 to 7Nov 15, 2021 to Mar 3, 2022
- HNW clients · 66 to 62Nov 15, 2021 to Mar 3, 2022
- Individual clients · 181 to 180Nov 15, 2021 to Mar 3, 2022
- Pension plan clients · 1.0 to unsetNov 15, 2021 to Mar 3, 2022
Signals
5 dated events
- P•••••• P•••••• W•••••• L•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $263.5M)Mar 2, 2026 · Left the SEC roster · derived
- M•••••• R•• C••••••• left P•••••• P•••••• W•••••• L•• for S••••• W••••• G•••• (registered 2026-01-05)Feb 11, 2026 · Advisor changed firm · fact
- C••••••••• J•••• H••••• left P•••••• P•••••• W•••••• L•• for H••••• F•••••••• G•••• (registered 2026-01-01)Nov 25, 2025 · Advisor changed firm · fact
- K••• V••••• left P•••••• P•••••• W•••••• L•• for S••••••••• W••••• P••••••• (registered 2025-04-17)Apr 14, 2025 · Advisor changed firm · fact
- P•••••• P•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 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.
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