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
S•••••••• C•••••• P••••••• L••
Latest filing Jul 24, 2026
First filing on the tape Mar 26, 2026 · 4 filings
SEC status approved since Mar 27, 2026
RAUM
$888M
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
100%
$888M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$296M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$888M as of Jul 24, 2026
Mar 26, 2026$0 then
HNW client RAUM: $888M
State-registered IARs (5.B.3)3 as of Jul 24, 2026
Mar 26, 20261 then
Employees (5.A)7 as of Jul 24, 2026
Mar 26, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 24, 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
- RAUM per advisor
- $296MderivedRAUM 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
- $222MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 33%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$888M100%
- Individuals$467,0110.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• F•••••••• J•••••• | Franklin, Tn | May 1, 2026 | 11 y | 5 |
| R•••••• G•••••• | Franklin, Tn | May 20, 2026 | 12 y | 2 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- R•••••• G•••••• from A•••• C•••••• C••••May 20, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- W•••••• F•••••••• J•••••• from E•••••••• P•••• W••••• P•••••••• L••May 1, 2026 · RIA to a newly registered adviser
- J••••••• P•••••• S•••••• from F•••••• I••••••••• M••••••••• I•••Apr 20, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• W••••••• F•••••••• · Chief Executive Officercontrolsince 11/2025 · owns less than 5%
- B••••• M••••••• R••••• · Chief Compliance Officersince 04/2026 · owns less than 5%
Entity owners
- S•••••••• C•••••• H••••••• L•• · Ownerdirect · owns 75% or more
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 | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Jul 24, 2026RAUM per registered advisor of $296,116,460 against a peer median of $106,309,121 (1261 comparable advisers, 99.0th percentile, 3.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,261) · 99% percentile
- business activity changedChange between filings · filing Jul 24, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-05-19, no on the filing of 2026-07-24peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 0 to 4May 19, 2026 to Jul 24, 2026
- Advisory employees · 1 to 3May 19, 2026 to Jul 24, 2026
- Advisory activities · 4 to 2May 19, 2026 to Jul 24, 2026
- BD registered reps · 0 to 2May 19, 2026 to Jul 24, 2026
- Employees · 1 to 7May 19, 2026 to Jul 24, 2026
- Insurance-licensed employees · 1 to 2May 19, 2026 to Jul 24, 2026
- State-registered IARs · 1 to 3May 19, 2026 to Jul 24, 2026
- Discretionary RAUM · $0 to $290MMay 19, 2026 to Jul 24, 2026
- HNW RAUM · unset to 887882368.0May 19, 2026 to Jul 24, 2026
- Individual RAUM · unset to 467011.0May 19, 2026 to Jul 24, 2026
- Non-discretionary RAUM · $0 to $599MMay 19, 2026 to Jul 24, 2026
- RAUM · $0 to $888MMay 19, 2026 to Jul 24, 2026
- Other offices · 0 to 1Mar 26, 2026 to Apr 16, 2026
Signals
No event on the tape.
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 email
- i••••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sagepointcpreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (615) 413-4340reportedpublic record, Form ADV, Jul 24, 2026
- Team page
- s•••••••••.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
- $296Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026