DFX Intelligence

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

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.

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

S••••••••• A•••• M••••••••• I••••••••• ••• L•••

CRD 145207

LONDON

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0e80a80a-1026-62f5-78be-a36a666ed729

Data as of Mar 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 7
On other graphs: 0
Observed: Mar 29, 2012 to Mar 28, 2025
18 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• O•••• M••••	CHAIRMAN-CEO/SHAREHOLDER/DIRECTOR	D	yes	09/1975	Mar 29, 2012	Dec 18, 2024
M••••••••• A•••••• R••••	GENERAL COUNSEL / CCO	Na	yes	09/2007	Mar 29, 2012	Dec 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• A•••• M••••••••• I•••	n/a	Asset manager	$3.7B	Y	no	n/a
S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L••	n/a	Institutional manager	$703M	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Memphis	Tn	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 28, 2025	$0	$0	3	3	1	n/a	n/a
2023	Mar 27, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$0	n/a	n/a	n/a	n/a	3	3	1	1

Relationships

Affiliated with (5)

← S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••••••••• A•••• M••••••••• I•••Registered adviserother investment adviser, control
factForm ADV
← G•••••••• P••• P•••••••Registered adviserother investment adviser, common control
factForm ADV
→ S••••••••• A•••• M••••••••• I•••Registered adviser

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 18, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 7, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 7, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e80a80a-1026-62f5-78be-a36a666ed729
First observed: Mar 29, 2012
Last observed: Mar 28, 2025 18 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.