DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C••••• H••• W•••••• L••

Former SEC-registered adviserFormer SEC adviserwebsite

Former SEC-registered adviser, reporting $8.5M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$8.5M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
100%
of RAUM, $8.5M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 323647 · SEC 801-127168 · 5 filingsShow
CRD 323647SEC 801-127168First filing on the tape Dec 12, 2022, latest Jun 2, 2023IAPD
RAUM
$8.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$8.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$8.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape

Filed figures over time · the tape starts Dec 12, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$8.5M as of Jun 2, 2023
Dec 12, 2022$0 then
HNW client RAUM$1.7M as of Jun 2, 2023
Mar 28, 2023$1.7M then
State-registered IARs (5.B.3)1 as of Jun 2, 2023
Dec 12, 20221 then
Employees (5.A)1 as of Jun 2, 2023
Dec 12, 20221 then
Private funds: no history
Practice profile
derived from the filing of Jun 2, 2023; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$8.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$425,179derivedHNW RAUM over HNW clients
Average account
$87,218derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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

80% individuals, 20% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow
  • Individuals$6.8M80%
  • High-net-worth individuals$1.7M20%
Individual clients
40reported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
97reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    W•••••• B• A••••Nashville, TnJan 12, 202316 y2
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••• W••••••• B• · Managing Member & Chief Compliance Officercontrol
      since 11/2022 · owns 75% or more
    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
    • Assets in custody · 2233782.0 to unset
      Mar 28, 2023 to Jun 2, 2023
    • Custody of client assets · true to false
      Mar 28, 2023 to Jun 2, 2023
    • Accounts · 0 to 97
      Jan 12, 2023 to Mar 28, 2023
    • Corporate clients · unset to 1.0
      Jan 12, 2023 to Mar 28, 2023
    • HNW clients · unset to 4.0
      Jan 12, 2023 to Mar 28, 2023
    Full history · 14 changes
    • Individual clients · unset to 40.0
      Jan 12, 2023 to Mar 28, 2023
    • Assets in custody · unset to 2233782.0
      Jan 12, 2023 to Mar 28, 2023
    • Custody of client assets · false to true
      Jan 12, 2023 to Mar 28, 2023
    • Discretionary RAUM · $0 to $8.5M
      Jan 12, 2023 to Mar 28, 2023
    • HNW RAUM · unset to 1700716.0
      Jan 12, 2023 to Mar 28, 2023
    • Individual RAUM · unset to 6759446.0
      Jan 12, 2023 to Mar 28, 2023
    • RAUM · $0 to $8.5M
      Jan 12, 2023 to Mar 28, 2023
    • HQ city · NASHVILLE to unset
      Dec 12, 2022 to Jan 12, 2023
    • HQ state · TN to unset
      Dec 12, 2022 to Jan 12, 2023
    Signals
    1 dated events
    • ••• Locked
      Dec 12, 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
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    $8.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026