DFX Intelligence

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

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

D••••••••• I•••

CRD 6950

MEMPHIS, TN

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Search this name across graphsid dfx:ria:e4154247-1173-4057-0b64-727154bbba1b

Data as of Oct 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 0
On other graphs: 2
Observed: Mar 8, 2012 to Oct 3, 2012
5 observations

Across DFX

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

Private Equityidentity

D••••••••• I•••

Intermediary · key crd, shared crd

Venture Capitalidentity

D••••• W•••••••• I•••

Venture manager · key crd, 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: $30.0M••• Locked
Discretionary RAUM: $3.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 128
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• D••••• A••••••	CO-CHAIRMAN	B	yes	06/2000	Mar 8, 2012	Oct 3, 2012
R•••• F••••••• F•••••	Cfo	A	yes	07/1985	Mar 8, 2012	Oct 3, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••••••• I•••	n/a	Former SEC adviser	$30.0M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 8, 2012	$30.0M	$3.7M	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	$30.0M	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
D••••• W••••••• A•••• M••••••••• L••	3	Apr 2, 2015	Mar 2, 2021	MEMPHIS, TN	Channel change	Other	30.0%

Relationships

Affiliated with (3)

← D••••• W••••••• A•••• M••••••••• L••Registered adviserbroker-dealer, common control
factForm ADV
← S••••••••• A•••••••• I•••Registered adviserbroker-dealer, common control
factForm ADV
→ D••••••••• I•••Registered adviserbroker-dealer, common control
factForm ADV

Controls (6)

← S••••• D•••• S••OwnerCORPORATE SECRETARY, ownership code A, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4154247-1173-4057-0b64-727154bbba1b
First observed: Mar 8, 2012
Last observed: Oct 3, 2012 170 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.