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SEC-registered adviser

S•••• B••••••••• M••••••••• L••

Asset manager (funds and pooled vehicles)Chattanooga, TennesseeCRD 322344SEC 801-134738websiteIAPD
Latest filing Jul 30, 2026
First filing on the tape Nov 17, 2025 · 4 filings
SEC status approved since Nov 19, 2025
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$165M as of Jul 30, 2026
Nov 17, 2025$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Nov 17, 20250 then
Employees (5.A)6 as of Jul 30, 2026
Nov 17, 20256 then
Private funds12 as of Jul 30, 2026
Nov 17, 202513 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 30, 2026; 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
$13.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$165M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• C••••••• D•••• · Managercontrol
        since 03/2020 · owns 50% to 75%
      • H••••••• M•••• D•••• · Managercontrol
        since 03/2020 · owns 10% to 25%
      • H•••• M••••••• F•••••• · Membercontrol
        since 03/2020 · owns 10% to 25%
      • B•••••• D••••• A••• · Manager
        since 08/2023 · owns less than 5%
      • W•••••••• K••••• A•• · Chief Compliance Officer
        since 10/2025 · owns less than 5%
      Entity owners
      • R•••• B••••••• L•• · Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 12
        Nov 17, 2025 to Mar 30, 2026
      • Pooled vehicle clients · 13 to 12
        Nov 17, 2025 to Mar 30, 2026
      • Private funds · 13 to 12
        Nov 17, 2025 to Mar 30, 2026
      • Discretionary RAUM · $178M to $165M
        Nov 17, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $178M to $165M
        Nov 17, 2025 to Mar 30, 2026
      • RAUM · $178M to $165M
        Nov 17, 2025 to Mar 30, 2026
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      s•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      423-243-3460reportedpublic record, Form ADV, Jul 30, 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
      Asset manager (funds and pooled vehicles)deriveda 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