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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

H•••• W••••• A•••••••• L••

CRD 151067

RIDGELAND, MS

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:c17d9189-cf8e-25b1-66cd-b2b1840d5b8b

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jun 16, 2014 to Mar 26, 2019
13 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: $252MItem 5.F on the latest filing (2019-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $252M
Private client RAUM: $245MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
H•••••• J••• D•	MANAGING MEMBER	Na	yes	01/2012	Jun 16, 2014	Mar 26, 2019
H•••• L••	SOLE OWNER / MEMBER	E	yes	07/2009	Jun 16, 2014

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
H•••• L••	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
Jackson	Tn	United States	1	no
Nashville	Tn	United States	1	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

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
2018	$252M	$234M	7.4%	$159M	16.6%	7	6	2	1

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
B••••••••• S•••••••• W•••••• L••	2	Aug 15, 2019	Aug 15, 2019	RIDGELAND, MS	Team lift out	RIA to ibd	40.0%
B••••••••• S•••••••• W•••••• L••	3	Aug 15, 2019

Relationships

Controls (3)

← P•••••• S•••• P•OwnerPARTNER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 16, 2014 to presentfactForm ADV
← H•••••• J••• D•OwnerMANAGING MEMBER, ownership code NA, individual
Jun 16, 2014 to presentfactForm ADV
← H•••• L••OwnerSOLE OWNER / MEMBER, ownership code E, domestic entity
Jun 16, 2014 to presentfactForm ADV

Moved with (1)

→ B••••••••• S•••••••• W•••••• L••Registered adviser

Dated events

Occurred
Jun 16, 2014
First Form ADV filing
H•••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c17d9189-cf8e-25b1-66cd-b2b1840d5b8b
First observed: Jun 16, 2014
Last observed: Mar 26, 2019 91 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.