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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SECTOR CAPITAL MANAGEMENT, L.L.C.

CRD 106782

MEMPHIS, TN

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:1494ff0b-4b75-025b-2b30-eb1438c18957

Data as of Mar 25, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Mar 25, 2015
10 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: $100MItem 5.F on the latest filing (2015-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $37.4M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Accounts: 109
SEC number: 801-48119
CRD: 106782
Filings on the tape: 10
First filed: Apr 2, 2012
Latest filed: Mar 25, 2015
Organised: Limited Liability Company, Tennessee

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
WALTERS, REED, DAVID	PRESIDENT & CEO / CCO	E	yes	05/2009	Apr 2, 2012	Mar 25, 2015
GURNER, WILLIAM, LEWIS	PORTFOLIO MANAGER AND ASSISTANT COMPLIANCE OFFICER	Na	no	01/1995	Apr 2, 2012	Mar 25, 2015
RIFFLE, KENNETH, LOUIS	VICE PRESIDENT MARKETING & CLIENT SERVICES / EQUITY ANALYST	Na	no	02/1996	Apr 2, 2012	Mar 25, 2015

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
2014	Mar 25, 2015	$100M	$37.4M	4	3	n/a	n/a	n/a
2013	Mar 25, 2014	$110M	$70.0M	4	3	n/a	n/a	n/a
2012	Apr 3, 2013	$859M	$563M	6	5	n/a	n/a	n/a
2011	Apr 2, 2012	$700M	$685M	n/a	n/a	n/a	n/a	n/a

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
2014	$100M	$110M	-9.1%	$700M	-47.7%	4	4	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TRADEWINDS GLOBAL INVESTORS, LLC	3	May 18, 2015	Mar 31, 2015	MEMPHIS, TN	Firm absorbed	Other	100.0%

Relationships

Owns (2)

← RIFFLE, KENNETH, LOUISOwnerVICE PRESIDENT MARKETING & CLIENT SERVICES / EQUITY ANALYST, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← GURNER, WILLIAM, LEWISOwnerPORTFOLIO MANAGER AND ASSISTANT COMPLIANCE OFFICER, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV

Controls (1)

← WALTERS, REED, DAVIDOwnerPRESIDENT & CEO / CCO, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV

Registered with (5)

← KENNETH LOUIS RIFFLEAdvisorregistration: previous registration
Feb 11, 2014 to May 18, 2015factForm ADV
← Reed David WaltersAdvisorregistration: previous registration
Feb 11, 2014 to May 18, 2015factForm ADV
← WILLIAM LEWIS GURNERAdvisorregistration: previous registration
Mar 29, 2004 to May 18, 2015factForm ADV
← MICHAEL VAUGHN ANTLEYAdvisorregistration: previous registration
Feb 1, 2012 to May 29, 2013factForm ADV
← MELLIO JOSEPH SULIPECKAdvisorregistration: previous registration
Mar 31, 2004 to Sep 27, 2010factForm ADV

Moved with (1)

→ TRADEWINDS GLOBAL INVESTORS, LLCRegistered adviser3 advisors, firm absorbed, same day
May 18, 2015 to Mar 31, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1494ff0b-4b75-025b-2b30-eb1438c18957
First observed: Apr 2, 2012
Last observed: Mar 25, 2015 139 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.

SECTOR CAPITAL MANAGEMENT, L.L.C.

CRD 106782

MEMPHIS, TN

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:1494ff0b-4b75-025b-2b30-eb1438c18957

Data as of Mar 25, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:58 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WALTERS, REED, DAVID

PRESIDENT & CEO / CCO

yes

05/2009

Apr 2, 2012

Mar 25, 2015

GURNER, WILLIAM, LEWIS

PORTFOLIO MANAGER AND ASSISTANT COMPLIANCE OFFICER

01/1995

Apr 2, 2012

Mar 25, 2015

RIFFLE, KENNETH, LOUIS

VICE PRESIDENT MARKETING & CLIENT SERVICES / EQUITY ANALYST

02/1996

Apr 2, 2012

Mar 25, 2015

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 25, 2015

$100M

$37.4M

n/a

2013

Mar 25, 2014

$110M

$70.0M

n/a

2012

Apr 3, 2013

$859M

$563M

n/a

2011

Apr 2, 2012

$700M

$685M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$100M

$110M

-9.1%

$700M

-47.7%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TRADEWINDS GLOBAL INVESTORS, LLC

May 18, 2015

Mar 31, 2015

MEMPHIS, TN

Firm absorbed

Other

100.0%