DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S•••• G•••• C•••••• A•••••••• L••

CRD 115231

MEMPHIS, TN

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Search this name across graphsid dfx:ria:ec46ab97-b693-bd91-ae5d-fcb9b727a0df

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 19
On other graphs: 3
Observed: Mar 29, 2012 to Mar 27, 2026
42 observations

Across DFX

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

Private Equityidentity

S•••• G•••• C•••••• A•••••••• L••

Private equity manager · shared crd

Private Creditidentity

S•••• G•••• C•••••• A•••••••• L••

Private credit manager · shared crd

Real Estate Fundsidentity

S•••• G•••• C•••••• A•••••••• L••

Real estate fund manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $1.6Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $234Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• C•••••• M•••••	Chartered Financial Analyst	MEMPHIS, TN	4	29	1	no
C•••• H••••• S••••	n/a	MEMPHIS, TN	1	13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• B• • H••••• S••• A• S••••• O• G•••• S••••• P•••••• I••••••••• P•••••••• L••	Other Private Fund	$34.4M	Feb 18, 2019	78	Mar 28, 2013	dropped	021-191718
S••••• E• • M••••••• A••••••• R••••• C•••••• A• S••••• O• G•••• S••••• P•••••• I••••••••• P•••••••• L••	Hedge Fund

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• S•••••• W••••	CHIEF EXECUTIVE OFFICER, S••••• MANAGING D•••••OR	E	yes	09/2001	Mar 27, 2026	Mar 27, 2026
S••••• C••••• H•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2023	Mar 27, 2026	Mar 27, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• C•••••• M••••••••• L••	n/a	Asset manager	$41.2M	N	yes	n/a
S• G• I• L••	n/a	n/a	n/a	N	yes	n/a
S•••• G•••• R••••• A•••••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
W••• PALM BEACH	FL	United States	0	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	2	3

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.6B	$1.4B	20.5%	$1.2B	10.1%	13	12	1	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G•••• S••••• W••••• M••••••••• L••	7	Feb 1, 2019	Feb 15, 2019	MEMPHIS, TN	Firm absorbed	RIA to new firm	77.8%
G• A•••••••• L••	3	Dec 31, 2017	Jan 20, 2005

Relationships

Affiliated with (6)

→ W••••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← W••••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← C••••• C•••• C•••••• A•••••••• L•Registered adviserother investment adviser, common control
factForm ADV
← A••••••• I••••••••• A•••••••• L••Registered adviser

Dated events

Occurred
Feb 14, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 2, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 29, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ec46ab97-b693-bd91-ae5d-fcb9b727a0df
First observed: Mar 29, 2012
Last observed: Mar 27, 2026 5 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.