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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Former SEC-registered adviser
A•• F•••••••• P•••••••
Legal name A•••• P••••••• C•••••••••
Latest filing Aug 26, 2025
First filing on the tape Apr 2, 2012 · 52 filings
SEC status approved since Apr 2, 1976
RAUM
$407M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$407M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$407M as of Aug 26, 2025
Apr 2, 2012$120M then
HNW client RAUM$330M as of Aug 26, 2025
Feb 15, 2018$153M then
State-registered IARs (5.B.3)6 as of Aug 26, 2025
Apr 2, 20120 then
Employees (5.A)9 as of Aug 26, 2025
Mar 21, 20135 then
Private funds: no history
RAUM +9.4% over the last fiscal year+7.6% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Aug 26, 2025; every figure names its basis
- RAUM per advisor
- $67.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $438,192derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $151M, 160 clientsreportedItem 9.A
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$330M81%
- Individuals$76.4M19%
- Charitable organizations$47,5020.0%
- Individual clients
- 164reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 928reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $151M for 160 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- S•••••• M•••••• C•••••• to S••••• W••••• M•••••••••Jan 15, 2026 · RIA to RIA
- D••••• B••••• M•••• to S••••• W••••• M•••••••••Jan 15, 2026 · RIA to RIA
- S•••••• W•••••• H•••••• to S••••• W••••• M•••••••••Jan 15, 2026 · RIA to RIA
- A••• T••••• K••••••• to S••••• W••••• M•••••••••Jan 15, 2026 · RIA to RIA
- J••••• N• O•••••••• to S••••• W••••• M•••••••••Jan 15, 2026 · RIA to RIA
- J•••• M••••• to C••• S••••• P•••••••Aug 4, 2023 · RIA to affiliated broker-dealer or bank
- K•••• M••••• to F••••••• P••••••• A•• W•••••••• A•••••••Aug 1, 2022 · RIA to affiliated broker-dealer or bank
- J••••••• D•••• M•••••••• to P••• A• W•••••• L••Mar 19, 2021 · RIA to RIA
- W••••• S•••••••• B•••• to R••••• • K•••••••• I•••Oct 30, 2014 · Other
- D••• M•••• M••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2010 · Other
Joined, latest
- A••• T••••• K••••••• from W•••• F•••• A•••••••Oct 28, 2022 · Wirehouse to independent RIA
- W••••• S•••••••• B•••• from M••••• S•••••• • C•• L••Aug 20, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for S••••• W••••• M•••••••••Jan 15, 2026 · Knoxville, Tn · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• S••••••• W•••••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- O••••••••• J••••• · Presidentcontrolsince 10/2020 · owns 75% or more
- O••••••••• C•••• · Corporate Secretarysince 12/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Knoxville, Tn · principal | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Feb 21, 2025 to Jun 20, 2025
- Accounts · 899 to 928Nov 8, 2024 to Feb 21, 2025
- Advisory employees · 5 to 6Nov 8, 2024 to Feb 21, 2025
- Business name · A•••• P••••••• C••••••••• to A•• F•••••••• P•••••••Nov 8, 2024 to Feb 21, 2025
- HNW clients · 112 to 116Nov 8, 2024 to Feb 21, 2025
- Individual clients · 175 to 164Nov 8, 2024 to Feb 21, 2025
- Assets in custody · unset to 150802000.0Nov 8, 2024 to Feb 21, 2025
- Custody of client assets · false to trueNov 8, 2024 to Feb 21, 2025
- Employees · 8 to 9Nov 8, 2024 to Feb 21, 2025
- State-registered IARs · 5 to 6Nov 8, 2024 to Feb 21, 2025
- Discretionary RAUM · $366M to $401MNov 8, 2024 to Feb 21, 2025
- HNW RAUM · $297M to $330MNov 8, 2024 to Feb 21, 2025
- Individual RAUM · $74.6M to $76.4MNov 8, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $5.1M to $5.2MNov 8, 2024 to Feb 21, 2025
- RAUM · $372M to $407MNov 8, 2024 to Feb 21, 2025
- RAUM · $319M to $372MSep 26, 2023 to Feb 15, 2024
- Accounts · 869 to 899Sep 26, 2023 to Feb 15, 2024
- Advisory employees · 6 to 5Sep 26, 2023 to Feb 15, 2024
- Advisory activities · 4 to 3Sep 26, 2023 to Feb 15, 2024
- HNW clients · 91 to 112Sep 26, 2023 to Feb 15, 2024
- Individual clients · 170 to 175Sep 26, 2023 to Feb 15, 2024
- Assets in custody · 8040022.0 to unsetSep 26, 2023 to Feb 15, 2024
- Custody of client assets · true to falseSep 26, 2023 to Feb 15, 2024
- Financial planning clients · 1-10 to 11-25Sep 26, 2023 to Feb 15, 2024
- Discretionary RAUM · $310M to $366MSep 26, 2023 to Feb 15, 2024
- HNW RAUM · $240M to $297MSep 26, 2023 to Feb 15, 2024
- Individual RAUM · $73.7M to $74.6MSep 26, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $8.9M to $5.1MSep 26, 2023 to Feb 15, 2024
- Pension RAUM · 4651433.0 to unsetSep 26, 2023 to Feb 15, 2024
- Accounts · 812 to 869Nov 9, 2022 to Feb 24, 2023
- HNW clients · 96 to 91Nov 9, 2022 to Feb 24, 2023
- Individual clients · 144 to 170Nov 9, 2022 to Feb 24, 2023
- Financial planning clients · 11-25 to 1-10Nov 9, 2022 to Feb 24, 2023
- Discretionary RAUM · $320M to $310MNov 9, 2022 to Feb 24, 2023
- HNW RAUM · $251M to $240MNov 9, 2022 to Feb 24, 2023
- Individual RAUM · $75.3M to $73.7MNov 9, 2022 to Feb 24, 2023
- Non-discretionary RAUM · $6.2M to $8.9MNov 9, 2022 to Feb 24, 2023
- Pension RAUM · unset to 4651433.0Nov 9, 2022 to Feb 24, 2023
- RAUM · $327M to $319MNov 9, 2022 to Feb 24, 2023
- Accounts · 775 to 812Jul 28, 2021 to Jan 26, 2022
Signals
12 dated events
- A•• F•••••••• P••••••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $406.6M)Feb 2, 2026 · Left the SEC roster · derived
- J••••• N• O•••••••• left A•• F•••••••• P••••••• for S••••• W••••• M••••••••• (registered 2026-01-06)Jan 15, 2026 · Advisor changed firm · fact
- D••••• B••••• M•••• left A•• F•••••••• P••••••• for S••••• W••••• M••••••••• (registered 2026-01-05)Jan 15, 2026 · Advisor changed firm · fact
- S•••••• W•••••• H•••••• left A•• F•••••••• P••••••• for S••••• W••••• M••••••••• (registered 2026-01-05)Jan 15, 2026 · Advisor changed firm · fact
- A••• T••••• K••••••• left A•• F•••••••• P••••••• for S••••• W••••• M••••••••• (registered 2026-01-05)Jan 15, 2026 · Advisor changed firm · fact
- S•••••• M•••••• C•••••• left A•• F•••••••• P••••••• for S••••• W••••• M••••••••• (registered 2026-01-05)Jan 15, 2026 · Advisor changed firm · fact
- A•• F•••••••• P•••••••'s advisors moved to S••••• W••••• M••••••••• (Knoxville, TN): 5 of 5 registered, on the same dayJan 15, 2026 · Firm absorbed (people side) · derived
- J•••• M••••• left A•• F•••••••• P••••••• for C••• S••••• P••••••• (registered 2023-08-08)Aug 4, 2023 · Advisor changed firm · fact
- K•••• M••••• left A•• F•••••••• P••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-15)Aug 1, 2022 · Advisor changed firm · fact
- Kemp Paul Fain (Executive Chairman) no longer on Schedule A of A•• F•••••••• P••••••• (listed 2021-07-28, absent 2022-01-26)Jan 26, 2022 · Control person left · inference
- Waddell Suzanne Himes (Chief Compliance Officer) appeared on Schedule A of A•• F•••••••• P•••••••Jul 27, 2021 · Control person joined · fact
- J••••• O•••••••• (President And Chief Compliance Officer) appeared on Schedule A of A•• F•••••••• P•••••••Oct 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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