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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

SOUTHERN WEALTH MANAGEMENT LLP

CRD 134714

DALLAS, TX

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:a3bc1a66-7585-a9bc-fa25-4dfbb46fbae6

Data as of Aug 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 24
On other graphs: 0
Observed: Jan 12, 2012 to Aug 2, 2023
39 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: $2.3BItem 5.F on the latest filing (2023-08-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.8B
Private client RAUM: $2.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 50
Advisory employees: 15
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 2,061
Individual clients: 0
High net worth clients: 250
Custody, client assets: $2.3B
SEC number: 801-64071
CRD: 134714
Filings on the tape: 39
First filed: Jan 12, 2012
Latest filed: Aug 2, 2023
Organised: Limited Liability Partnership, Texas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GIBERT, KATHERINE, M.	Partner	Na	yes	01/2008	Jan 12, 2012	Aug 2, 2023
GILE, THOMAS, SAMUEL	Partner	B	yes	02/2005	Jan 12, 2012	Aug 2, 2023
HEAD, JEREMY, THOMAS	Partner	Na	yes	01/2012	Jan 12, 2012	Aug 2, 2023
JONES, RICHARD, WILLIAM	Partner	C	yes	02/2005	Jan 12, 2012	Aug 2, 2023
OLSON, MICHAEL, LANE	Partner	B	yes	02/2005	Jan 12, 2012	Aug 2, 2023
DEBRUYN, PHILIP, MARK	Partner	B	no	01/2018	Mar 30, 2018	Aug 2, 2023
DRAKE, DANIEL, THOMAS	Partner	Na	no	01/2022	Mar 15, 2022	Aug 2, 2023
HENDRICK PATTILLO, KELLY, MARIE	Partner	Na	no	01/2022	Mar 15, 2022	Aug 2, 2023
HORLICK, MICHAEL, ALAN	Partner	Na	no	12/2017	Mar 30, 2018	Aug 2, 2023
KERSHAW, BRANDON, HEATH	Partner	Na	no	01/2022	Mar 15, 2022	Aug 2, 2023
PRICE, SHANE, DARREN	Partner	Na	no	01/2022	Mar 15, 2022	Aug 2, 2023
RANA, NIMISHA, P	Partner	Na	no	01/2022	Mar 15, 2022	Aug 2, 2023
SADZEWICZ, GERY, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	01/2010	Jan 12, 2012	Aug 2, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	yes	n/a
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	yes	n/a
SOUTHERN WEALTH SECURITIES, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN ANTONIO	TX	United States	7	no
NEW ORLEANS	La	United States	1	no
Midland	TX	United States	0	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 22, 2023	$2.3B	$1.8B	50	15	3	n/a	n/a
2021	Mar 15, 2022	$2.9B	$2.2B	50	30	3	n/a	n/a
2020	Mar 31, 2021	$3.4B	$2.7B	59	30	2	n/a	n/a
2019	Mar 28, 2020	$3.1B	$2.4B	52	30	2	n/a	n/a
2018	Mar 28, 2019	$2.5B	$2.0B	53	26	2	n/a	n/a
2017	Mar 30, 2018	$2.2B	$0	35	13	2	n/a	n/a
2016	Mar 30, 2017	$2.4B	$0	32	24	n/a	n/a	n/a
2015	Mar 14, 2016	$2.2B	$0	32	22	n/a	n/a	n/a
2014	Mar 31, 2015	$2.2B	$0	32	22	n/a	n/a	n/a
2013	Mar 29, 2014	$2.0B	$0	36	18	n/a	n/a	n/a
2012	Mar 28, 2013	$1.7B	$0	31	10	n/a	n/a	n/a
2011	Mar 29, 2012	$1.6B	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$2.3B	$2.9B	-18.6%	$3.1B	-9.2%	50	50	3	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Captrust	2	Oct 25, 2023	Jun 23, 2023	NEW ORLEANS, LA	Team lift out	Other	10.5%
Captrust	16	Oct 25, 2023	Jun 29, 2023	DALLAS, TX	Firm absorbed	Other	84.2%

Relationships

Affiliated with (2)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser, common control
factForm ADV

Owns (8)

← SADZEWICZ, GERY, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 12, 2012 to presentfactForm ADV
← DEBRUYN, PHILIP, MARKOwnerPARTNER, ownership code B, individual
Mar 30, 2018 to presentfactForm ADV
← HORLICK, MICHAEL, ALANOwnerPARTNER, ownership code NA, individual
Mar 30, 2018 to presentfactForm ADV
← KERSHAW, BRANDON, HEATHOwnerPARTNER, ownership code NA, individual
Mar 15, 2022 to presentfactForm ADV
← PRICE, SHANE, DARRENOwnerPARTNER, ownership code NA, individual
Mar 15, 2022 to presentfactForm ADV
← DRAKE, DANIEL, THOMASOwnerPARTNER, ownership code NA, individual
Mar 15, 2022 to presentfactForm ADV
← HENDRICK PATTILLO, KELLY, MARIEOwnerPARTNER, ownership code NA, individual
Mar 15, 2022 to presentfactForm ADV
← RANA, NIMISHA, POwnerPARTNER, ownership code NA, individual
Mar 15, 2022 to presentfactForm ADV

Controls (5)

← GILE, THOMAS, SAMUELOwnerPARTNER, ownership code B, individual
Jan 12, 2012 to presentfactForm ADV
← HEAD, JEREMY, THOMASOwnerPARTNER, ownership code NA, individual
Jan 12, 2012 to presentfactForm ADV
← JONES, RICHARD, WILLIAMOwnerPARTNER, ownership code C, individual
Jan 12, 2012 to presentfactForm ADV
← GIBERT, KATHERINE, M.OwnerPARTNER, ownership code NA, individual
Jan 12, 2012 to presentfactForm ADV
← OLSON, MICHAEL, LANEOwnerPARTNER, ownership code B, individual
Jan 12, 2012 to presentfactForm ADV

Registered with (22)

← GERY JOSEPH SADZEWICZAdvisorregistration: previous registration
Mar 9, 2010 to Oct 25, 2023factForm ADV
← PHILIP MARK DEBRUYNAdvisorregistration: previous registration
Nov 21, 2019 to Oct 25, 2023factForm ADV
← THOMAS SAMUEL GILEAdvisorregistration: previous registration
Apr 15, 2005 to Oct 25, 2023factForm ADV
← JEREMY THOMAS HEADAdvisorregistration: previous registration
Jan 18, 2008 to Oct 25, 2023factForm ADV
← MICHAEL ALAN HORLICKAdvisorregistration: previous registration
Jan 25, 2012 to Oct 25, 2023factForm ADV
← MATTHEW QUINTON HUGGINSAdvisorregistration: previous registration
Apr 15, 2005 to Oct 25, 2023factForm ADV
← DENISE RENEE ROTHERMELAdvisorregistration: previous registration
Apr 15, 2005 to Oct 25, 2023factForm ADV
← BRANDON HEATH KERSHAWAdvisorregistration: previous registration
Nov 9, 2017 to Oct 25, 2023factForm ADV
← SHANE DARREN PRICEAdvisorregistration: previous registration
Apr 15, 2005 to Oct 25, 2023factForm ADV
← DANIEL THOMAS DRAKEAdvisorregistration: previous registration
Nov 3, 2006 to Oct 25, 2023factForm ADV
← RYAN RANDALL GRIFFINAdvisorregistration: previous registration
Jan 10, 2011 to Oct 25, 2023factForm ADV
← KELLY MARIE HENDRICK PATTILLOAdvisorregistration: previous registration
May 30, 2008 to Oct 25, 2023factForm ADV
← KATHERINE M. GIBERTAdvisorregistration: previous registration
Mar 7, 2008 to Oct 25, 2023factForm ADV
← STEPHANIE MARIE BISHOP SMITHAdvisorregistration: previous registration
Aug 4, 2008 to Oct 25, 2023factForm ADV
← ANTHONY JOSEPH HARVOTAdvisorregistration: previous registration
Nov 15, 2017 to Oct 25, 2023factForm ADV
← Taylor Joseph BillingsAdvisorregistration: previous registration
Apr 12, 2023 to Oct 25, 2023factForm ADV
← Tara Minnich FuselierAdvisorregistration: previous registration
Mar 4, 2017 to Oct 25, 2023factForm ADV
← EMILY SUE COPELANDAdvisorregistration: previous registration
Oct 10, 2019 to Oct 25, 2023factForm ADV
← Jessica Ashley Bourne MayoAdvisorregistration: previous registration
Oct 16, 2019 to Oct 25, 2023factForm ADV
← LAURA ELIZABETH ENGLISHAdvisorregistration: previous registration
Oct 5, 2018 to Sep 27, 2021factForm ADV
← LAURA MARIE SWEENEYAdvisorregistration: previous registration
Apr 15, 2005 to Jul 5, 2021factForm ADV
← Vanessa I. JourdanAdvisorregistration: previous registration
Jul 1, 2019 to Jan 6, 2020factForm ADV

Moved with (1)

→ CAPTRUSTRegistered adviser16 advisors, firm absorbed, same day
Oct 25, 2023 to Jun 29, 2023factForm ADV

Dated events

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

Occurred
Oct 25, 2023
Team lift-out
2 advisors left Southern Wealth Management LLP (New Orleans, LA) for Captrust on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Oct 25, 2023
Firm absorbed
Southern Wealth Management LLP's advisors moved to Captrust (Dallas, TX): 16 of 19 registered, on the same day
Form ADVobserved 5 days ago
16 advisors
Occurred
Oct 25, 2023
Advisor changed firm
Taylor Joseph Billings left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Thomas Samuel Gile left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Matthew Quinton Huggins left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Jeremy Thomas Head left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Gery Joseph Sadzewicz left Southern Wealth Management Llp for Encompass Wealth Management Llc (registered 2010-03-18)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Ryan Randall Griffin left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Kelly Marie Hendrick Pattillo left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Daniel Thomas Drake left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Tara Minnich Fuselier left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Emily Sue Copeland left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Jessica Ashley Bourne Mayo left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Brandon Heath Kershaw left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Denise Renee Rothermel left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Michael Alan Horlick left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Katherine M. Gibert left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Stephanie Marie Bishop Smith left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Philip Mark Debruyn left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Shane Darren Price left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Form ADVobserved 5 days ago
Occurred
Oct 25, 2023
Advisor changed firm
Anthony Joseph Harvot left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Form ADVobserved 5 days ago
Occurred
Jul 6, 2021
Control person left
Marie Laura Sweeney (Partner) no longer on Schedule A of Southern Wealth Management Llp (listed 2021-06-21, absent 2021-07-06)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2020
Regulatory AUM changed
Southern Wealth Management Llp reported RAUM $3.1B, up 27% from $2.5B (2019-03-28 to 2020-03-28)
Form ADVobserved 5 days ago
$658M

Show 1 bookkeeping events

Occurred
Mar 28, 2019
Southern Wealth Management Llp reported 26 state-registered advisory representatives, up from 11 (2018-09-13 to 2019-03-28)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3bc1a66-7585-a9bc-fa25-4dfbb46fbae6
First observed: Jan 12, 2012
Last observed: Aug 2, 2023 38 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.

SOUTHERN WEALTH MANAGEMENT LLP

CRD 134714

DALLAS, TX

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:a3bc1a66-7585-a9bc-fa25-4dfbb46fbae6

Data as of Aug 2, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GIBERT, KATHERINE, M.

Partner

yes

01/2008

Jan 12, 2012

Aug 2, 2023

GILE, THOMAS, SAMUEL

Partner

yes

02/2005

Jan 12, 2012

Aug 2, 2023

HEAD, JEREMY, THOMAS

Partner

yes

01/2012

Jan 12, 2012

Aug 2, 2023

JONES, RICHARD, WILLIAM

Partner

yes

02/2005

Jan 12, 2012

Aug 2, 2023

OLSON, MICHAEL, LANE

Partner

yes

02/2005

Jan 12, 2012

Aug 2, 2023

DEBRUYN, PHILIP, MARK

Partner

01/2018

Mar 30, 2018

Aug 2, 2023

DRAKE, DANIEL, THOMAS

Partner

01/2022

Mar 15, 2022

Aug 2, 2023

HENDRICK PATTILLO, KELLY, MARIE

Partner

01/2022

Mar 15, 2022

Aug 2, 2023

HORLICK, MICHAEL, ALAN

Partner

12/2017

Mar 30, 2018

Aug 2, 2023

KERSHAW, BRANDON, HEATH

Partner

01/2022

Mar 15, 2022

Aug 2, 2023

PRICE, SHANE, DARREN

Partner

01/2022

Mar 15, 2022

Aug 2, 2023

RANA, NIMISHA, P

Partner

01/2022

Mar 15, 2022

Aug 2, 2023

SADZEWICZ, GERY, JOSEPH

CHIEF COMPLIANCE OFFICER

01/2010

Jan 12, 2012

Aug 2, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

yes

n/a

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

yes

n/a

SOUTHERN WEALTH SECURITIES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN ANTONIO

United States

NEW ORLEANS

United States

Midland

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 22, 2023

$2.3B

$1.8B

n/a

2021

Mar 15, 2022

$2.9B

$2.2B

n/a

2020

Mar 31, 2021

$3.4B

$2.7B

n/a

2019

Mar 28, 2020

$3.1B

$2.4B

n/a

2018

Mar 28, 2019

$2.5B

$2.0B

n/a

2017

Mar 30, 2018

$2.2B

n/a

2016

Mar 30, 2017

$2.4B

n/a

2015

Mar 14, 2016

$2.2B

n/a

2014

Mar 31, 2015

$2.2B

n/a

2013

Mar 29, 2014

$2.0B

n/a

2012

Mar 28, 2013

$1.7B

n/a

2011

Mar 29, 2012

$1.6B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$2.3B

$2.9B

-18.6%

$3.1B

-9.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Captrust

Oct 25, 2023

Jun 23, 2023

NEW ORLEANS, LA

Team lift out

Other

10.5%

Captrust

Oct 25, 2023

Jun 29, 2023

DALLAS, TX

Firm absorbed

Other

84.2%