DFX Intelligence

S•••••• C• B•••••••• • C••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

S•••••• C• B•••••••• • C••• L••

CRD 104474

NASHVILLE, TN

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Search this name across graphsid dfx:ria:347d85a9-9978-5ac6-15a1-78b61cac9397

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 54
Dated events: 19
On other graphs: 2
Observed: Mar 29, 2012 to Mar 30, 2026
33 observations

Across DFX

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

Private Equityidentity

S•••••• C• B•••••••• • C••• L••

Intermediary · key crd, shared crd

Real Estate Fundsidentity

S•••••• C• B•••••••• • C••• L••

Affiliate · key crd, shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.07 fund_share=0.52 institutional_share=0.4 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $87.0Mderived••• Locked
Private client share: 7%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• C•••••• M••••••••• L••	SOLE LLC MEMBER	E	yes	10/2000	Mar 29, 2012	Oct 30, 2024
A••••••••• L••• •••••••	SOLE MEMBER	E	yes	08/2000	Mar 29, 2012	Oct 30, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••••• L•••	n/a	Other adviser	$763B	Y	no	n/a
E•••••••• I••••••••• M••••••••• G••••• L••	n/a	ASSET_M••••••	$167B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	91	yes
Nashville	Tn	United States	67	yes
LOS ANGELES	CA	United States	56	yes
Chicago	IL	United States	48	yes
Washington	Dc	United States

Regulatory AUM by fiscal year

••• Locked

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

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	$1.2B	$1.6B	-26.1%	$4.5B	-35.3%	0	0	23	24

Relationships

Affiliated with (30)

← E•••••••• A•••••••• L••Registered adviserother investment adviser, broker-dealer, bank, trust company, common control
factForm ADV
← A• P•••••• C••••• I•••••••• L••Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
← A••••••••• L•••Registered adviserother investment adviser, broker-dealer, bank, custodian, control
factForm ADV
← B•••••••• I••••••••• S••••••• L••Registered adviser

Dated events

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

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-430M
Occurred
Mar 30, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Mar 30, 2026
Ria office opened
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:347d85a9-9978-5ac6-15a1-78b61cac9397
First observed: Mar 29, 2012
Last observed: Mar 30, 2026 5 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.