DFX Intelligence

S••••••• C••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

S••••••• C••••• S•••••••• L••

CRD 154737

OXFORD, MS

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Search this name across graphsid dfx:ria:cae9bb44-f200-8223-36d7-06eb91a5020b

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 31, 2017
7 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

S••••••• C••••• S•••••••• L••

Private credit manager · shared crd

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: $18.8M••• Locked
Discretionary RAUM: $18.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••• D••• P••••••••• P••• 1•••• L••	Other Private Fund	$19.2M	Mar 25, 2014	95	Apr 1, 2013	dropped	021-134457
A••••••• D••• P••••••••• 0•••• L••	Other Private Fund	$17.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• W••••••• A••••••	Member	C	yes	06/2003	Mar 30, 2012	Mar 31, 2017
A••••• W••••••• A••••••	PRESIDENT OF S••••••• H•••••••• L••	Na	yes	08/2003	Mar 30, 2012	Mar 31, 2017

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$18.8M	$96.2M	-80.5%	$116M	-45.6%	15	15	n/a	n/a

Relationships

Controls (5)

← D••••• R••••••• L••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jul 1, 2013 to presentfactForm ADV
← V••••••• R•••••• H•••••OwnerVICE PRESIDENT OF SALES AND MARKETING, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← A••••• W••••••• A••••••OwnerMEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← D••••••••• K••••••• M••••OwnerPRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cae9bb44-f200-8223-36d7-06eb91a5020b
First observed: Mar 30, 2012
Last observed: Mar 31, 2017 115 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.