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.
Former SEC-registered adviser
Lathrop Investment Management Corp
Latest filing Dec 17, 2024
First filing on the tape Mar 27, 2012 · 20 filings
SEC status approved since Jun 1, 1981
RAUM
$868M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
63%
$551M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$868M as of Mar 27, 2024
Mar 27, 2012$333M then
HNW client RAUM$508M as of Mar 27, 2024
Mar 26, 2018$308M then
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 27, 20120 then
Employees (5.A)6 as of Mar 27, 2024
Mar 27, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 17, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $214M, 113 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$508M58%
- Pension and profit-sharing plans$281M32%
- Individuals$43.6M5.0%
- Corporations and businesses$26.9M3.1%
- Charitable organizations$9.2M1.1%
- Individual clients
- 63reported
- HNW clients
- 153reported
- Pension plan clients
- 5reported
- Charitable clients
- 3reported
- Accounts
- 841reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $214M for 113 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Ellis Martin Sloan to Horrell Capital Management, Inc.Aug 1, 2006 · Other
Joined, latest
- Ellis Martin Sloan from Integrated Portfolio Management, LLCMar 30, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Lathrop Investment Management CompanyApr 29, 2025 · Little Rock, Ar · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mitchell Ryan Gattin · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- Colin Gregory Lathrop · Chairmancontrolsince 04/1981 · owns 75% or more
- Wesley James Havens · Presidentsince 11/2024 · owns less than 5%
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 · 822 to 841Mar 23, 2023 to Mar 27, 2024
- HNW clients · 134 to 153Mar 23, 2023 to Mar 27, 2024
- Individual clients · 59 to 63Mar 23, 2023 to Mar 27, 2024
- Pension plan clients · 4 to 5Mar 23, 2023 to Mar 27, 2024
- Assets in custody · $184M to $214MMar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $620M to $680MMar 23, 2023 to Mar 27, 2024
- HNW RAUM · $462M to $508MMar 23, 2023 to Mar 27, 2024
- Individual RAUM · $29.4M to $43.6MMar 23, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $161M to $188MMar 23, 2023 to Mar 27, 2024
- Pension RAUM · $255M to $281MMar 23, 2023 to Mar 27, 2024
- RAUM · $781M to $868MMar 23, 2023 to Mar 27, 2024
- Accounts · 808 to 822Mar 29, 2022 to Mar 23, 2023
- Charity clients · unset to 3.0Mar 29, 2022 to Mar 23, 2023
- Corporate clients · unset to 2.0Mar 29, 2022 to Mar 23, 2023
- HNW clients · 150 to 134Mar 29, 2022 to Mar 23, 2023
- Individual clients · 39 to 59Mar 29, 2022 to Mar 23, 2023
- Pension plan clients · 8 to 4Mar 29, 2022 to Mar 23, 2023
- Assets in custody · $158M to $184MMar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $623M to $620MMar 29, 2022 to Mar 23, 2023
- HNW RAUM · $503M to $462MMar 29, 2022 to Mar 23, 2023
- Individual RAUM · $44.5M to $29.4MMar 29, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $272M to $161MMar 29, 2022 to Mar 23, 2023
- Pension RAUM · $303M to $255MMar 29, 2022 to Mar 23, 2023
- RAUM · $895M to $781MMar 29, 2022 to Mar 23, 2023
- Accounts · 804 to 808Mar 16, 2021 to Mar 29, 2022
- HNW clients · 114 to 150Mar 16, 2021 to Mar 29, 2022
- Individual clients · 77 to 39Mar 16, 2021 to Mar 29, 2022
- Pension plan clients · 7 to 8Mar 16, 2021 to Mar 29, 2022
- Assets in custody · $141M to $158MMar 16, 2021 to Mar 29, 2022
- Discretionary RAUM · $512M to $623MMar 16, 2021 to Mar 29, 2022
- HNW RAUM · $394M to $503MMar 16, 2021 to Mar 29, 2022
- Individual RAUM · $60.8M to $44.5MMar 16, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $238M to $272MMar 16, 2021 to Mar 29, 2022
- Pension RAUM · $259M to $303MMar 16, 2021 to Mar 29, 2022
- RAUM · $750M to $895MMar 16, 2021 to Mar 29, 2022
- Accounts · 782 to 804Jun 30, 2020 to Mar 16, 2021
- HNW clients · 99 to 114Jun 30, 2020 to Mar 16, 2021
- Individual clients · 88 to 77Jun 30, 2020 to Mar 16, 2021
- Pension plan clients · 9 to 7Jun 30, 2020 to Mar 16, 2021
- Assets in custody · $287M to $141MJun 30, 2020 to Mar 16, 2021
Signals
4 dated events
- Lathrop Investment Management Corp no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $868.4M)May 2, 2025 · Left the SEC roster · derived
- Lathrop Investment Management Corp's advisors moved to Lathrop Investment Management Company (Little Rock, AR): 3 of 3 registered, on the same dayApr 29, 2025 · Firm absorbed (people side) · derived
- Arthur Andrew Lagrone (Chief Compliance Officer) no longer on Schedule A of Lathrop Investment Management Corp (listed 2022-03-29, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Mitchell Ryan Gattin (Chief Compliance Officer) appeared on Schedule A of Lathrop Investment Management CorpMar 23, 2023 · Control person joined · fact
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