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CRD 17117
MEMPHIS, TN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | F•••• seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• T•••• A•• | CHIEF INVESTMENT OFFICER AND PRESIDENT OF ADVISORY SERVICES | Na | yes | 04/2024 | Apr 10, 2024 | Oct 7, 2024 |
| D••••••••• M••••• R••• J•• | President | Na | yes | 04/2024 | Mar 31, 2021 | Oct 7, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M••••• • C••••••• I•• | n/a | Other adviser | $1.7B | N | yes | n/a |
| F•••• I••• | n/a | n/a | n/a | N | yes | n/a |
| F•• F•••••••• C•••••• M••••••• A• D••••••• O• F•••• H•••••• B••• ••••••••• G••• S••••••••• D•••••• |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Memphis | Tn | United States | 17 | yes |
| Brentwood | Tn | United States | 12 | yes |
| Knoxville | Tn | United States | 9 | yes |
| Chattanooga | Tn | United States | 7 | yes |
| Birmingham | Al | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 12 | -12 | n/a | 0 | 0 | 0 | 24 | 95 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $14B | $12B | 9.9% | $14B | 0.1% | 239 | 236 | 77 | 69 |
| Other firm | Advisors | F•••• left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F•••• T•••••••• A••••••• S•••••••• I••• | 4 | Sep 29, 2025 | Jul 12, 2012 | MEMPHIS, TN | Team lift out | Other | 33.3% |
| L•• F•••••••• L•• | 5 | Sep 29, 2025 | Jan 8, 2026 |
| Other firm | Advisors | F•••• left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•••• I••••••••• I••• | 4 | Jan 22, 2021 | May 13, 2021 | NAPLES, FL | Team lift out | Ibd to RIA | 0.9% |
| O•••• I••••••••• I••• | 11 | Jan 22, 2021 | Feb 22, 2021 |
| SOLE SHAREHOLDER |
| E |
| yes |
| 01/1985 |
| Oct 25, 2019 |
| Oct 7, 2024 |
| F•••• H•••••• C••••••••• •••• | Shareholder | E | yes | 11/1985 | Mar 31, 2021 | Oct 7, 2024 |
| K••••• K•••• M••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 28, 2014 | Oct 7, 2024 |
| C••••••• O•••• M••• | Director | Na | no | 11/2020 | Sep 16, 2013 | Oct 7, 2024 |
| n/a |
| n/a |
| n/a |
| Y |
| yes |
| Tn |
| F•• F•••••••• C•••••• M••••••• A• D••••••• O• F•••• H•••••• B••• ••••••••• M••• S••••••••• D•••••• | n/a | n/a | n/a | N | yes | n/a |
| F•• F•••••••• M•••••••• A•••••••• A• D••••••• O• F•••• H•••••• B••• | n/a | n/a | n/a | N | yes | n/a |
| F•• F•••••••• S••••••••• C••• | n/a | n/a | n/a | N | yes | n/a |
| F•••• H•••••• I•••••••• S••••••• I•• | n/a | n/a | n/a | N | yes | n/a |
| yes |
| Lafayette | La | United States | 5 | yes |
| Memphis | Tn | United States | 5 | yes |
| Metairie | La | United States | 4 | yes |
| NEW ORLEANS | La | United States | 4 | yes |
| Jackson | Tn | United States | 4 | yes |
| JOHNSON CITY | Tn | United States | 4 | yes |
| Morristown | Tn | United States | 4 | yes |
| CORAL GABLES | FL | United States | 3 | yes |
| FT LAUDERDALE | FL | United States | 3 | yes |
| WINSTON SALEM | Nc | United States | 3 | yes |
| WINSTON SALEM | Nc | United States | 3 | yes |
| Franklin | Tn | United States | 3 | yes |
| Germantown | Tn | United States | 3 | yes |
| Knoxville | Tn | United States | 3 | yes |
| Maryville | Tn | United States | 3 | yes |
| Atlanta | Ga | United States | 2 | yes |
| Germantown | Tn | United States | 2 | yes |
| Maryville | Tn | United States | 2 | yes |
| Murfreesboro | Tn | United States | 2 | yes |
| Nashville | Tn | United States | 2 | yes |
| Mar 24, 2025 |
| $14B |
| $10B |
| 239 |
| 169 |
| 77 |
| n/a |
| n/a |
| 2023 | Mar 29, 2024 | $12B | $9.2B | 236 | 180 | 69 | n/a | n/a |
| 2022 | Mar 30, 2023 | $11B | $8.5B | 224 | 170 | 69 | n/a | n/a |
| 2021 | Mar 31, 2022 | $14B | $10B | 229 | 185 | 71 | n/a | n/a |
| 2020 | Mar 31, 2021 | $8.5B | $5.7B | 225 | 126 | 76 | n/a | n/a |
| 2019 | Mar 28, 2020 | $7.2B | $5.1B | 189 | 140 | 76 | n/a | n/a |
| 2018 | Mar 29, 2019 | $6.1B | $4.5B | 189 | 140 | 76 | n/a | n/a |
| 2017 | Mar 30, 2018 | $5.9B | $4.2B | 185 | 151 | 88 | n/a | n/a |
| 2016 | Mar 31, 2017 | $4.8B | $3.7B | 187 | 169 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $4.1B | $3.3B | 187 | 177 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $4.2B | $3.4B | 167 | 166 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $3.9B | $3.2B | 167 | 149 | n/a | n/a | n/a |
| MEMPHIS, TN |
| Team lift out |
| RIA to ibd |
| 41.7% |
| F•••• T•••••••• A••••••• S•••••••• I••• | 50 | Aug 21, 2025 | Jul 12, 2012 | MEMPHIS, TN | Large transfer | Other | 23.6% |
| W•••• F•••• A••••••• | 3 | Oct 15, 2024 | Oct 14, 2024 | METAIRIE, LA | Team lift out | RIA to wirehouse | 1.5% |
| N•••••• A••••••• | 3 | Oct 6, 2022 | Sep 23, 2022 | MEMPHIS, TN | Team lift out | RIA to ibd | 1.6% |
| F•••• T•••••••• A••••••• S•••••••• I••• | 3 | Aug 11, 2022 | Jan 6, 2011 | MEMPHIS, TN | Team lift out | Other | 1.6% |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | 9 | Aug 11, 2022 | Aug 23, 2022 | MEMPHIS, TN | Team lift out | RIA to ibd | 4.7% |
| L•• F•••••••• L•• | 2 | Feb 22, 2019 | Feb 21, 2019 | KNOXVILLE, TN | Team lift out | RIA to RIA | 1.4% |
| LAFAYETTE, LA |
| Team lift out |
| Ibd to RIA |
| 2.5% |
| O•••• I••••••••• I••• | 2 | Jan 22, 2021 | Jan 23, 2021 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.5% |
| T••••• A••••••• S•••••••• I••• | 4 | Jul 29, 2020 | Sep 10, 2020 | ADVANCE, NC | Team lift out | Ibd to RIA | 0.4% |