Daniel L. Maupin

RATHER & KITTRELL

Knoxville, TN 37934

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CRD#: 7232617

Professional summary

Daniel Lawrence Maupin is a registered financial advisor currently at RATHER & KITTRELL, INC. located in Knoxville, Tennessee.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Daniel has worked at 1 firm and has passed the SIE exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lawrence Maupin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 15, 2022 - Present

RATHER & KITTRELL, INC.

Office #1: 11905 Kingston Pike, Knoxville, TN 37934

RIA

CRD#: 114885

Knoxville, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RATHER & KITTRELL, INC.

CRD#: 114885 / SEC#: 801-66996

RIA

Registered Investment Advisory firm - (7/14/2006 Approved)

Tennessee

Registered Investment Advisory firm - (8/27/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(3/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 3/5/2020

Securities Industry Essentials Examination

Current Firm

RATHER & KITTRELL, INC.

CRD#: 114885 / SEC#: 801-66996

RIA

Registered Investment Advisory firm - (7/14/2006 Approved)

Tennessee

Registered Investment Advisory firm - (8/27/2006 Terminated)

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Contact information

Main Address

11905 Kingston Pike, Knoxville, TN 37934

Mailing Address

Phone number

(865) 218-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	3,129
AUM (Assets Under Management)	$ 1,855,203,829

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel L. Maupin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lawrence Maupin's CRS (Customer Relationship Summary).

Certified licenses

Experience

RATHER & KITTRELL, INC.

Primary Firm SEC Registration

RATHER & KITTRELL, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 3/5/2020

Current Firm

RATHER & KITTRELL, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RATHER & KITTRELL, INC.

TRUST BUT VERIFY

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