DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F•••••••• R••••••• M••••••••• I•••

CRD 148305

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:59a5f037-5541-bb31-71a5-7fb93a9b15b6

Data as of Apr 20, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Dec 19, 2011 to Apr 20, 2012
8 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: $76.3M••• Locked
Discretionary RAUM: $76.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 568
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• R•••••• J•••••	VICE-PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	09/2008	Dec 19, 2011	Apr 20, 2012
G•••••• J••••• L••	Secretary	C	yes	09/2008	Dec 19, 2011	Apr 20, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• W••••• M••••••••• L••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 26, 2012	$76.3M	$76.3M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$76.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••• W••••• A•••••••• L••	2	Dec 31, 2022	Jan 5, 2023	MEMPHIS, TN	Team lift out	Other	100.0%

Relationships

Controls (3)

← F••••••• R•••••• J•••••OwnerVICE-PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Dec 19, 2011 to presentfactForm ADV
← J•••••••• J••••• K••••OwnerPRESIDENT, ownership code C, individual
Dec 19, 2011 to presentfactForm ADV
← G•••••• J••••• L••OwnerSECRETARY, ownership code C, individual
Dec 19, 2011 to presentfactForm ADV

Moved with (1)

→ A•••• W••••• A•••••••• L••Registered adviser

Dated events

Occurred
Dec 31, 2022
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59a5f037-5541-bb31-71a5-7fb93a9b15b6
First observed: Dec 19, 2011
Last observed: Apr 20, 2012 175 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.