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.

SEC-registered adviser

H••• A•••••••• L••

Asset manager (funds and pooled vehicles)Nashville, TennesseeCRD 340455SEC 801-135423IAPD
Latest filing May 1, 2026
First filing on the tape Feb 11, 2026 · 2 filings
SEC status approved since Feb 27, 2026
RAUM
$339M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$339M as of May 1, 2026
Feb 11, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Feb 11, 20260 then
Employees (5.A)2 as of May 1, 2026
Feb 11, 20262 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 1, 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
$339MderivedRAUM 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
unknownderived1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$339M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      • J•••••••• H••••• R••••• · Partnercontrol
        since 01/2026 · owns 10% to 25%
      • L••••• T•••••• W• · Managing Member/Chief Compliance Officercontrol
        since 01/2026 · owns 10% to 25%
      • P•••••••• D•••••• W••••• · Managing Membercontrol
        since 03/2026 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity changedChange between filings · filing May 1, 2026
        advises private funds (Item 7.B): no on the filing of 2026-02-11, yes on the filing of 2026-05-01
        peers: asset managers, $100M to $500M (1,568)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Feb 11, 2026 to May 1, 2026
      • Pooled vehicle clients · unset to 1.0
        Feb 11, 2026 to May 1, 2026
      • HQ city · CHICAGO to NASHVILLE
        Feb 11, 2026 to May 1, 2026
      • HQ state · IL to TN
        Feb 11, 2026 to May 1, 2026
      • Private funds · unset to 1
        Feb 11, 2026 to May 1, 2026
      • Discretionary RAUM · $0 to $339M
        Feb 11, 2026 to May 1, 2026
      • Pooled vehicle RAUM · unset to 339256924.0
        Feb 11, 2026 to May 1, 2026
      • RAUM · $0 to $339M
        Feb 11, 2026 to May 1, 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
      Principal office phone
      210-274-0985reportedpublic record, Form ADV, May 1, 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