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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SEC-registered adviser
D••••• E•••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2012 · 17 filings
SEC status approved since Jul 13, 2001
RAUM
$27.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$20.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$27.1M as of Mar 31, 2026
Mar 27, 2012$191M then
HNW client RAUM$4.9M as of Mar 31, 2026
Mar 26, 2018$48.4M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 27, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Mar 8, 20133 then
Private funds: no history
RAUM -87% over the last fiscal year-58% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $27.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $189,604derivedHNW RAUM over HNW clients
- Average account
- $382,167derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -87%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -82%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Individuals$15.6M57%
- High-net-worth individuals$4.9M18%
- Charitable organizations$3.1M11%
- Corporations and businesses$2.4M8.7%
- Pension and profit-sharing plans$1.1M4.2%
- Individual clients
- 14reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 71reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• G•••• L•• E•••• | Memphis, Tn | Jul 1, 2026 | 25 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- P••• T••••• D••••• to D••••• I••••••••• A••••••• L••Dec 1, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• P•••• T••••• · Chief Manager/Chief Compliance Officer/Managing Membercontrolsince 06/2001 · owns 50% to 75%
- E••••• R•••••• G•••• L•• · Secretary/Managing Membercontrolsince 06/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 1 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 31, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $214,853,890 to $27,133,847, advisors 2 to 1, private clients 219 to 40, offices 0 to 0 (2025-01-31 to 2026-03-31)peers: independent wealth managers, under $100M (707)
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $214,853,890 to $27,133,847 (-87.0%) between the annual amendments of 2025-01-31 and 2026-03-31; the peer median change was +8.0% (220 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, under $100M (220) · 3.2% percentile
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 266.0 to 71.0 (-73.0%) between the annual amendments of 2025-01-31 and 2026-03-31; the peer median change was +2.0% (135 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, under $100M (135) · 3.7% percentile
- client count collapseChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 219.0 to 40.0 (-82.0%) between the annual amendments of 2025-01-31 and 2026-03-31; the peer median change was 0.0% (119 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, under $100M (119) · 1.7% percentile
What changed
consecutive filings, newest first
- Accounts · 234 to 71Nov 20, 2025 to Mar 31, 2026
- HNW clients · 78 to 26Nov 20, 2025 to Mar 31, 2026
- Individual clients · 139 to 14Nov 20, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0.0 to unsetNov 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $121M to $27.1MNov 20, 2025 to Mar 31, 2026
- HNW RAUM · $93.4M to $4.9MNov 20, 2025 to Mar 31, 2026
- Individual RAUM · $15.2M to $15.6MNov 20, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $3.6M to $0Nov 20, 2025 to Mar 31, 2026
- Pension RAUM · $3.6M to $1.1MNov 20, 2025 to Mar 31, 2026
- RAUM · $125M to $27.1MNov 20, 2025 to Mar 31, 2026
- Accounts · 266 to 234Jan 31, 2025 to Nov 20, 2025
- Advisory employees · 2 to 1Jan 31, 2025 to Nov 20, 2025
- Charity clients · 0.0 to unsetJan 31, 2025 to Nov 20, 2025
- Corporate clients · 0.0 to unsetJan 31, 2025 to Nov 20, 2025
- HNW clients · 82 to 78Jan 31, 2025 to Nov 20, 2025
- Individual clients · 137 to 139Jan 31, 2025 to Nov 20, 2025
- Pension plan clients · 7.0 to unsetJan 31, 2025 to Nov 20, 2025
- Employees · 2 to 1Jan 31, 2025 to Nov 20, 2025
- State-registered IARs · 2 to 1Jan 31, 2025 to Nov 20, 2025
- Discretionary RAUM · $212M to $121MJan 31, 2025 to Nov 20, 2025
- HNW RAUM · $78.8M to $93.4MJan 31, 2025 to Nov 20, 2025
- Individual RAUM · $13.4M to $15.2MJan 31, 2025 to Nov 20, 2025
- Non-discretionary RAUM · $3.2M to $3.6MJan 31, 2025 to Nov 20, 2025
- Pension RAUM · $106M to $3.6MJan 31, 2025 to Nov 20, 2025
- RAUM · $215M to $125MJan 31, 2025 to Nov 20, 2025
- Accounts · 225 to 266Mar 26, 2024 to Jan 31, 2025
- HNW clients · 60 to 82Mar 26, 2024 to Jan 31, 2025
- Individual clients · 114 to 137Mar 26, 2024 to Jan 31, 2025
- Pension plan clients · 11 to 7Mar 26, 2024 to Jan 31, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Jan 31, 2025
- Discretionary RAUM · $440M to $212MMar 26, 2024 to Jan 31, 2025
- HNW RAUM · $68.0M to $78.8MMar 26, 2024 to Jan 31, 2025
- Individual RAUM · $9.5M to $13.4MMar 26, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $6.4M to $3.2MMar 26, 2024 to Jan 31, 2025
- Pension RAUM · $354M to $106MMar 26, 2024 to Jan 31, 2025
- RAUM · $446M to $215MMar 26, 2024 to Jan 31, 2025
- Accounts · 239 to 225Mar 28, 2023 to Mar 26, 2024
- Advisory employees · 3 to 2Mar 28, 2023 to Mar 26, 2024
- HNW clients · 79 to 60Mar 28, 2023 to Mar 26, 2024
- Individual clients · 113 to 114Mar 28, 2023 to Mar 26, 2024
Signals
2 dated events
- P••• T••••• D••••• left D••••• E•••• A•••• M••••••••• L•• for D••••• I••••••••• A••••••• L•• (registered 2026-02-04)Dec 1, 2025 · Advisor changed firm · fact
- D••••• E•••• A•••• M••••••••• L•• reported RAUM $214.9M, down 52% from $446.0M (2024-03-26 to 2025-01-31)Jan 31, 2025 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 901-755-2075reportedpublic record, Form ADV, Mar 31, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026