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Former SEC-registered adviser

C•••••• F•••••••• A••••••• L••

Former SEC-registered adviserMemphis, TennesseeCRD 106809SEC 801-49054IAPD

Latest filing Sep 25, 2014

First filing on the tape Mar 30, 2012 · 8 filings

RAUM

$148M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$167,690 gross assets

History

8 filings and snapshots on the tape

RAUM$51.7M as of May 15, 2014

Mar 30, 2012$150M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of May 15, 2014

Mar 30, 20120 then

Employees (5.A)2 as of May 15, 2014

Mar 28, 20134 then

Private funds1 as of May 15, 2014

Mar 30, 20124 then

RAUM +0.0% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Sep 25, 2014; every figure names its basis

RAUM per advisor: $148MderivedRAUM 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: $2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -65%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Ownership: controlled by a public reporting companyderived
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
controlled by a public reporting company (10.A)

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: 64reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, performancereported
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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••• G••••• M••••••••• L•••	Private Equity Fund	$250M	4	Mar 30, 2012
T••••••••• I••••••••• F•••• L•••no longer reported	Liquidity Fund	$205M	6	Mar 30, 2012
T•• K••••••• G••••• F••• L•••no longer reported	Hedge Fund	$7.3M	0	Mar 30, 2012
P•••••• P•••••••• L•	Liquidity Fund	$167,690	15	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

W••••••• T•••••• L•• · Owner/Chief Compliance Officercontrol
since 01/1994 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 17 to 64
May 15, 2014 to Sep 25, 2014
Discretionary RAUM · $51.7M to $146M
May 15, 2014 to Sep 25, 2014
Non-discretionary RAUM · $0 to $2.4M
May 15, 2014 to Sep 25, 2014
RAUM · $51.7M to $148M
May 15, 2014 to Sep 25, 2014
Accounts · 64 to 17
Mar 27, 2014 to May 15, 2014
Advisory employees · 3 to 1
Mar 27, 2014 to May 15, 2014
Employees · 4 to 2
Mar 27, 2014 to May 15, 2014
Private funds · 2 to 1
Mar 27, 2014 to May 15, 2014
Discretionary RAUM · $146M to $51.7M
Mar 27, 2014 to May 15, 2014
Non-discretionary RAUM · $2.4M to $0
Mar 27, 2014 to May 15, 2014
RAUM · $148M to $51.7M
Mar 27, 2014 to May 15, 2014
Private funds · 4 to 2
Mar 28, 2013 to Sep 11, 2013
Accounts · 63 to 64
Dec 5, 2012 to Mar 28, 2013
Employees · 3 to 4
Dec 5, 2012 to Mar 28, 2013
Discretionary RAUM · $86.9M to $146M
Dec 5, 2012 to Mar 28, 2013
Non-discretionary RAUM · $63.2M to $2.4M
Dec 5, 2012 to Mar 28, 2013
RAUM · $150M to $148M
Dec 5, 2012 to Mar 28, 2013
Advisory employees · unset to 3.0
Mar 30, 2012 to Dec 5, 2012
Assets in custody · 68772519.0 to unset
Mar 30, 2012 to Dec 5, 2012
Custody of client assets · true to false
Mar 30, 2012 to Dec 5, 2012
Employees · unset to 3.0
Mar 30, 2012 to Dec 5, 2012
State-registered IARs · 0 to 1
Mar 30, 2012 to Dec 5, 2012

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

C•••••• F•••••••• A••••••• L•• · Private Equity
shared crd · organization

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