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
E•••• F•••••••• P•••••••
Legal name G••• S•••••• W••••• A••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Aug 28, 2024 · 8 filings
SEC status approved since Sep 30, 2024
RAUM
$181M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$45.2M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$181M as of Mar 25, 2026
Jan 24, 2025$141M then
HNW client RAUM$94.3M as of Mar 25, 2026
Jan 24, 2025$25.0M then
State-registered IARs (5.B.3)5 as of Mar 25, 2026
Jan 24, 20254 then
Employees (5.A)7 as of Mar 25, 2026
Jan 24, 20257 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $45.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $202,835derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -57%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $110M, 439 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.3M52%
- Individuals$86.2M48%
- Corporations and businesses$229,4910.1%
- Individual clients
- 288reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 891reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 439 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• B••••• E••••Certified Financial Planner | Clarksville, Tn | Oct 29, 2024 | 31 y | 2 |
| M•••••• F•••••• W••••• | Clarksville, Tn | Dec 16, 2024 | 16 y | 3 |
| J•••• C••• A•••••• | Clarksville, Tn | Dec 16, 2024 | 12 y | 3 |
| E••• E••••• E•••• | Clarksville, Tn | Feb 20, 2025 | 19 y | 1 |
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
- E••• E••••• E•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• F•••••• W••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 16, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• C••• A•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 16, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• B••••• E•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 29, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 31, 2024 · Clarksville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• E•••• E••••• · Member, Manager, President And Chief Operating Officercontrolsince 10/2024 · owns 50% to 75%
- E••••• K••••• B••••• · Member, Manager And Chief Executive Officercontrolsince 10/2024 · owns 50% to 75%
- G••••••• S••••• A•• · Chief Compliance Officersince 08/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Clarksville, Tn · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 25, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $140,529,422 to $180,726,290, advisors 4 to 5, private clients 773 to 330, offices 0 to 0 (2025-03-28 to 2026-03-25)peers: independent wealth managers, $100M to $500M (5,678)
- client count collapseChange between filings · filing Mar 25, 2026individual and HNW clients (Item 5.D) moved from 773.0 to 330.0 (-57.0%) between the annual amendments of 2025-03-28 and 2026-03-25; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.1% percentile
- HNW share shiftChange between filings · filing Mar 25, 2026HNW share of RAUM moved from 18.0% to 52.0% between the annual amendments of 2025-03-28 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 774 to 891Mar 28, 2025 to Mar 25, 2026
- Advisory employees · 2 to 3Mar 28, 2025 to Mar 25, 2026
- HNW clients · 14 to 42Mar 28, 2025 to Mar 25, 2026
- Individual clients · 759 to 288Mar 28, 2025 to Mar 25, 2026
- Assets in custody · $53.0M to $110MMar 28, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 251-500Mar 28, 2025 to Mar 25, 2026
- State-registered IARs · 4 to 5Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $120M to $158MMar 28, 2025 to Mar 25, 2026
- HNW RAUM · $25.0M to $94.3MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $115M to $86.2MMar 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $20.2M to $23.1MMar 28, 2025 to Mar 25, 2026
- RAUM · $141M to $181MMar 28, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Jan 24, 2025 to Mar 28, 2025
- Accounts · 0 to 774Nov 8, 2024 to Jan 24, 2025
- Business name · G••• S•••••• W••••• A••••••• L•• to E•••• F•••••••• P•••••••Nov 8, 2024 to Jan 24, 2025
- Corporate clients · unset to 1.0Nov 8, 2024 to Jan 24, 2025
- HNW clients · unset to 14.0Nov 8, 2024 to Jan 24, 2025
- Individual clients · unset to 759.0Nov 8, 2024 to Jan 24, 2025
- Assets in custody · unset to 53033729.0Nov 8, 2024 to Jan 24, 2025
- Custody of client assets · false to trueNov 8, 2024 to Jan 24, 2025
- Discretionary RAUM · $0 to $120MNov 8, 2024 to Jan 24, 2025
- HNW RAUM · unset to 24978108.0Nov 8, 2024 to Jan 24, 2025
- Individual RAUM · unset to 115355605.0Nov 8, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $0 to $20.2MNov 8, 2024 to Jan 24, 2025
- RAUM · $0 to $141MNov 8, 2024 to Jan 24, 2025
- Business name · B•••••• W••••• P••••••• to G••• S•••••• W••••• A••••••• L••Nov 1, 2024 to Nov 7, 2024
- Legal name · B•••••• W••••• P••••••• LLC to G••• S•••••• W••••• A••••••• L••Oct 29, 2024 to Nov 1, 2024
- HQ city · CINCINNATI to CLARKSVILLEAug 28, 2024 to Oct 29, 2024
- HQ state · OH to TNAug 28, 2024 to Oct 29, 2024
- Related adviser · true to falseAug 28, 2024 to Oct 29, 2024
Signals
3 dated events
- 4 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Clarksville, TN) for E•••• F•••••••• P••••••• on the same dayOct 31, 2024 · Team lift-out · derived
- Sean Kevin Woodard (Member And Manager) no longer on Schedule A of E•••• F•••••••• P••••••• (listed 2024-08-28, absent 2024-10-29)Oct 29, 2024 · Control person left · inference
- B•••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Aug 28, 2024 · 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
- 931-647-8654reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 931-905-0050reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/retireconfidentreportedpublic record, Form ADV, Sep 19, 2026
- Website
- retireconfident.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 931-905-0050reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- ellisfinancialplanning.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ellisfinancialplanning.com/peoplereportedpublished by the firm, firm site, Sep 16, 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
- $45.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026