DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

W•••••• • A••••••••• I••

Former SEC-registered adviserMemphis, TennesseeCRD 105746SEC 801-26693IAPD
Latest filing Jun 9, 2016
First filing on the tape Mar 19, 2012 · 12 filings
RAUM
$750M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$750M as of Mar 21, 2016
Mar 19, 2012$559M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Mar 21, 2016
Mar 15, 201310 then
Employees (5.A)21 as of Mar 21, 2016
Mar 15, 201322 then
Private funds: no history
RAUM -8.5% over the last fiscal year+6.4% a year over threeIARs 15 to 12
Practice profile
derived from the filing of Jun 9, 2016; every figure names its basis
RAUM per advisor
$62.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$273,778derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.5%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,741reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• T•••• L••• · Chief Compliance Officer And Chief Administrative Officercontrol
        since 01/2011 · owns less than 5%
      • S••••••• P••••••• R•••••• · Vice Chairman, Directorcontrol
        since 10/1993 · owns less than 5%
      • W••••••• C••••• S•••• · Director & Corporate Secretarycontrol
        since 12/1985 · owns less than 5%
      • W••••••• D••••• S••••• · President, Chief Executive Officer, Director, Ttee W•••••• Trust & Dsw Trustcontrol
        since 08/2003 · owns less than 5%
      • W••••••• D••••• S••••• · Trusteecontrol
        since 07/2005 · owns 25% to 50% of W•••••• Trust U/A Dtd 07/25/05
      • W••••••• D••••• S••••• · Trusteecontrol
        since 12/2009 · owns 50% to 75% of D•• T•••• U•• D•• 1•••••••
      Entity owners
      • D•• T•••• U•• D•• 1••••••• · Shareholder
        direct · owns 50% to 75%
      • W•••••• • A••••••••• I••• E••• T•••• · Shareholder
        direct · owns 10% to 25%
      • W•••••• T•••• U•• D•• 7•••••• · Shareholder
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Brentwood, TN
      What changed
      consecutive filings, newest first
      • Assets in custody · 78162455.0 to unset
        Mar 21, 2016 to Jun 9, 2016
      • Custody of client assets · true to false
        Mar 21, 2016 to Jun 9, 2016
      • Accounts · 2,816 to 2,741
        Jul 30, 2015 to Mar 21, 2016
      • Assets in custody · $88.8M to $78.2M
        Jul 30, 2015 to Mar 21, 2016
      • Employees · 22 to 21
        Jul 30, 2015 to Mar 21, 2016
      • Insurance-licensed employees · 1 to 0
        Jul 30, 2015 to Mar 21, 2016
      • Financial planning clients · 251-500 to 101-250
        Jul 30, 2015 to Mar 21, 2016
      • State-registered IARs · 15 to 12
        Jul 30, 2015 to Mar 21, 2016
      • Discretionary RAUM · $742M to $676M
        Jul 30, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $78.4M to $74.9M
        Jul 30, 2015 to Mar 21, 2016
      • RAUM · $820M to $750M
        Jul 30, 2015 to Mar 21, 2016
      • Related adviser · true to false
        Jul 30, 2015 to Mar 21, 2016
      • Accounts · 2,775 to 2,816
        Nov 25, 2014 to Mar 18, 2015
      • Advisory employees · 10 to 12
        Nov 25, 2014 to Mar 18, 2015
      • Assets in custody · $90.8M to $88.8M
        Nov 25, 2014 to Mar 18, 2015
      • Financial planning clients · More than 500 to 251-500
        Nov 25, 2014 to Mar 18, 2015
      • State-registered IARs · 10 to 15
        Nov 25, 2014 to Mar 18, 2015
      • Discretionary RAUM · $710M to $742M
        Nov 25, 2014 to Mar 18, 2015
      • Non-discretionary RAUM · $61.3M to $78.4M
        Nov 25, 2014 to Mar 18, 2015
      • RAUM · $771M to $820M
        Nov 25, 2014 to Mar 18, 2015
      • Accounts · 2,594 to 2,775
        Aug 14, 2013 to Mar 21, 2014
      • Advisory activities · 4 to 5
        Aug 14, 2013 to Mar 21, 2014
      • Assets in custody · $83.9M to $90.8M
        Aug 14, 2013 to Mar 21, 2014
      • Insurance-licensed employees · 0 to 1
        Aug 14, 2013 to Mar 21, 2014
      • Financial planning clients · 251-500 to More than 500
        Aug 14, 2013 to Mar 21, 2014
      • Discretionary RAUM · $588M to $710M
        Aug 14, 2013 to Mar 21, 2014
      • Non-discretionary RAUM · $35.0M to $61.3M
        Aug 14, 2013 to Mar 21, 2014
      • RAUM · $623M to $771M
        Aug 14, 2013 to Mar 21, 2014
      • Assets in custody · unset to 83947409.0
        Mar 15, 2013 to Jun 26, 2013
      • Custody of client assets · false to true
        Mar 15, 2013 to Jun 26, 2013
      • Accounts · 2,558 to 2,594
        Sep 14, 2012 to Mar 15, 2013
      • Advisory employees · unset to 10.0
        Sep 14, 2012 to Mar 15, 2013
      • Employees · unset to 22.0
        Sep 14, 2012 to Mar 15, 2013
      • State-registered IARs · unset to 10.0
        Sep 14, 2012 to Mar 15, 2013
      • Discretionary RAUM · $559M to $588M
        Sep 14, 2012 to Mar 15, 2013
      • Non-discretionary RAUM · $0 to $35.0M
        Sep 14, 2012 to Mar 15, 2013
      • RAUM · $559M to $623M
        Sep 14, 2012 to Mar 15, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026