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S•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

S•••••• L••

CRD 150593

MEMPHIS, TN

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Search this name across graphsid dfx:ria:0b7182b7-267b-833e-6127-b4f277b5dcd7

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 1
Observed: Mar 28, 2012 to Mar 25, 2026
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S•••••• L••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.38 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.3BItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $600M
Private client RAUM: $887MderivedItem 5.D individuals plus high net worth individuals
Private client share: 38%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• M•••••••• M•••••••	Chartered Financial Analyst	MEMPHIS, TN	3	36	1	no
A••••• D•••• H•••••	Chartered Financial Analyst	MEMPHIS, TN	1	10

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••• I••••••••• L••	Private Equity Fund	$1.8M	Mar 26, 2024	25	Mar 30, 2020	dropped	021-344611

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•• P•••••••• L••	Member	B	yes	08/2017	Mar 25, 2026	Mar 25, 2026
M•••••••• J•••••• M••••••••	CHIEF COMPLIANCE OFFICER/MANAGING MEMBER	E	yes	05/2009	Mar 25, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
1••• P•••••••• L••	n/a	Asset manager	$207M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.3B	$2.7B	-14.3%	$1.8B	8.8%	4	3	1	0

Relationships

Affiliated with (2)

→ 1••• P•••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← 1••• P•••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Registered with (3)

← T••••• M••••••• M•••••••Advisorregistration: current employment
Feb 10, 2026 to presentfactForm ADV
←

Dated events

Occurred
Mar 26, 2024
Regulatory AUM changed
S•••••• L•• reported RAUM $2.4B, up 31% from $1.8B (2023-09-07 to 2024-03-26)
Form ADVobserved 7 days ago
$568M
Occurred
Mar 26, 2021
Regulatory AUM changed
S•••••• L•• reported RAUM $2.4B, up 68% from $1.4B (2020-06-25 to 2021-03-26)
Form ADVobserved 7 days ago
$957M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b7182b7-267b-833e-6127-b4f277b5dcd7
First observed: Mar 28, 2012
Last observed: Mar 25, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.