DFX Intelligence

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

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

F••••• H••• S•••••••• V•••• A•••••••• L••

CRD 318868

LITTLE ROCK, AR

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Search this name across graphsid dfx:ria:2fd6c21c-6cf1-72fc-22be-6e66673c2637

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2022 to Mar 29, 2024
5 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: $120M••• Locked
Discretionary RAUM: $120M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• T••••••• A•••	CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2022	Mar 30, 2022	Mar 29, 2024
F••••• H••• C••••••• L••	Manager	Na	yes	01/2022	Mar 30, 2022	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••• H••• C••••••• L••	n/a	Independent wealth	$249M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Memphis	Tn	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 29, 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
2023	$120M	$156M	-23.1%	n/a	n/a	4	4	1	1

Relationships

Affiliated with (2)

← F••••• H••• C••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ F••••• H••• C••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (6)

← L••• M•••• A••••OwnerMANAGING MEMBER AND PRESIDENT, ownership code E, individual
Mar 30, 2022 to presentfactForm ADV
← F••••• H••• C••••••• L••Owner

Dated events

Occurred
Mar 30, 2022
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2fd6c21c-6cf1-72fc-22be-6e66673c2637
First observed: Mar 30, 2022
Last observed: Mar 29, 2024 30 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.