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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

U••••••• L••• W••••• M••••••••• L••

CRD 330469

OXFORD, MS

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Search this name across graphsid dfx:ria:0e5ea761-8f45-0b78-affd-c018b97fcd39

Data as of May 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 7
On other graphs: 0
Observed: Mar 18, 2024 to May 3, 2024
6 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2024-05-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 4
Advisory employees: 1
Offices

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
A••••••••• C••••	CO-OWNER	D	yes	02/2024	Apr 4, 2024	May 3, 2024
E••••••• J•••••• D••••	CHIEF FINANCIAL OFFICER	Na	yes	02/2024	Apr 4, 2024

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
U••••••• L••• S••••••• C••••••	n/a	n/a	n/a	Y	yes	n/a

Relationships

Controls (4)

← E••••••• J•••••• D••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 4, 2024 to presentfactForm ADV
← P••••• J•••••• A••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 18, 2024 to presentfactForm ADV
← A••••••••• C••••OwnerCO-OWNER, ownership code D, individual
Apr 4, 2024 to presentfactForm ADV
← U••••••• L••• S••••••• C••••••OwnerL••• INSURANCE COMPANY, ownership code E, domestic entity
Mar 18, 2024 to presentfact

Dated events

Occurred
May 3, 2024
Control person left
Derek Herbert (Co-Owner) no longer on Schedule A of U••••••• L••• W••••• M••••••••• L•• (listed 2024-04-25, absent 2024-05-03)
Form ADVobserved 6 days ago
Occurred
May 3, 2024
Control person left
James Kevin Hebert (Co-Owner) no longer on Schedule A of U••••••• L••• W••••• M••••••••• L•• (listed 2024-04-25, absent 2024-05-03)
Form ADVobserved 6 days ago
Occurred
Apr 4, 2024
Control person joined
David Joseph Emerson (Co-Owner) appeared on Schedule A of U••••••• L••• W••••• M••••••••• L••
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e5ea761-8f45-0b78-affd-c018b97fcd39
First observed: Mar 18, 2024
Last observed: May 3, 2024 29 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.