DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

A••••• A•••••••• I•••

CRD 112028

RUSTON, LA

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Search this name across graphsid dfx:ria:319b6438-96f1-d616-7665-5d0a0150d95a

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 1
On other graphs: 1
Observed: Mar 28, 2012 to Aug 20, 2026
48 observations

Across DFX

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

Private Equityidentity

A••••• A•••••••• I•••

Intermediary · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.58 fund_share=0.0 institutional_share=0.36 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $997Mderived••• Locked
Private client share: 58%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $143Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• R••••• M••••	Certified Financial Planner	RUSTON, LA	20	29	1	no
M•••••• R•• J••••	n/a	RUSTON, LA	20	42

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• F•••••••• G••••• I•••	PARENT COMPANY	E	yes	03/2001	Aug 20, 2026	Aug 20, 2026
B••••• C•••••• A••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2016	Aug 20, 2026	Aug 20, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••• C•••••• M••••••••• L••	n/a	Mixed wealth	$3.9B	N	yes	n/a
A••••• R••••••••• P••• A•••••••• L••	n/a	I•••••••••_MANAGER	$683M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Ruston	La	United States	9	yes

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.7B	$1.5B	17.2%	$1.2B	12.9%	27	28	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••••• W••••• • P•••••••• L••	2	Jan 13, 2021	Jan 15, 2021	SHREVEPORT, LA	Team lift out	RIA to new firm	15.4%

Relationships

Affiliated with (10)

→ H••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A••••••••• I••••••••• A••••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ H••••••• C•••••• M••••••••• I•••Registered adviserother investment adviser
factForm ADV
→ W••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 24, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$253M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:319b6438-96f1-d616-7665-5d0a0150d95a
First observed: Mar 28, 2012
Last observed: Aug 20, 2026 33 days 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.