DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

D•••• A•••• M••••••••• L••

CRD 113688

MEMPHIS, TN

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Search this name across graphsid dfx:ria:42ef3ba6-24b1-7220-1d67-a0f89c72fef8

Data as of Jul 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 3
On other graphs: 0
Observed: Mar 27, 2012 to Jul 22, 2026
36 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

T•• H• S••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.4Bderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $306Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••• M••••••• M•••	n/a	MEMPHIS, TN	22	34	n/a	no
D•••• C•••••• S••••	Certified Financial Planner\|Chartered Financial Analyst	MEMPHIS, TN	15	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J•••• T•••••	Principal	Na	yes	09/2021	Feb 28, 2022	Nov 8, 2024
H•••••••• H••••••• L••	Owner	E	yes	05/2017	Nov 28, 2017	Nov 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••••• A•••••••• L••	n/a	Bd affiliated wealth	$199B	N	yes	n/a
G•••• T••• B••••• • A•••••• L••	n/a	Independent wealth	$2.3B	N	yes	n/a

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	$1.5B	$1.4B	6.1%	$1.2B	7.6%	10	8	0	0

Relationships

Affiliated with (21)

← K•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← H•••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← M•••••• A••••• S••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← H••••• I••••••••• C••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Nov 8, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 28, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:42ef3ba6-24b1-7220-1d67-a0f89c72fef8
First observed: Mar 27, 2012
Last observed: Jul 22, 2026 2 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.