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

C•••••• W••••• M••••••••• L••

Former SEC-registered adviserMemphis, TennesseeCRD 113769SEC 801-68474IAPD
Latest filing Mar 31, 2021
First filing on the tape Nov 17, 2011 · 15 filings
RAUM
$392M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
92%
$359M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$392M as of Mar 31, 2021
Mar 6, 2012$155M then
HNW client RAUM$349M as of Mar 31, 2021
Mar 29, 2018$236M then
State-registered IARs (5.B.3)2 as of Mar 31, 2021
Mar 6, 20120 then
Employees (5.A)4 as of Mar 31, 2021
Mar 27, 20134 then
Private funds: no history
RAUM +9.5% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$196MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.8MderivedHNW RAUM over HNW clients
Average account
$973,139derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Custody
$99.3M, 54 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$349M89%
  • Charitable organizations$22.0M5.6%
  • Individuals$10.4M2.7%
  • Corporations and businesses$7.2M1.8%
  • Pension and profit-sharing plans$3.9M1.0%
Individual clients
24reported
HNW clients
51reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
403reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$99.3M for 54 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••• J••• L••••••• · Member, Manager, President, Trustee, Ccocontrol
    since 03/2007 · owns 75% or more
  • H••••• R•••••• G••••••• · Secretarycontrol
    since 08/2000 · owns less than 5%
Entity owners
  • H•••• F••••• B••••••• T•••• · Member
    direct · 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 · 393 to 403
    Jun 30, 2020 to Mar 31, 2021
  • Charity clients · 6 to 7
    Jun 30, 2020 to Mar 31, 2021
  • HNW clients · 44 to 51
    Jun 30, 2020 to Mar 31, 2021
  • Individual clients · 29 to 24
    Jun 30, 2020 to Mar 31, 2021
  • Assets in custody · $72.0M to $99.3M
    Jun 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · $260M to $306M
    Jun 30, 2020 to Mar 31, 2021
  • HNW RAUM · $321M to $349M
    Jun 30, 2020 to Mar 31, 2021
  • Individual RAUM · $12.1M to $10.4M
    Jun 30, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $98.2M to $85.7M
    Jun 30, 2020 to Mar 31, 2021
  • Pension RAUM · $3.2M to $3.9M
    Jun 30, 2020 to Mar 31, 2021
  • RAUM · $358M to $392M
    Jun 30, 2020 to Mar 31, 2021
  • Accounts · 387 to 393
    Mar 31, 2019 to Mar 31, 2020
  • Assets in custody · $62.0M to $72.0M
    Mar 31, 2019 to Mar 31, 2020
  • Discretionary RAUM · $209M to $260M
    Mar 31, 2019 to Mar 31, 2020
  • HNW RAUM · $262M to $321M
    Mar 31, 2019 to Mar 31, 2020
  • Individual RAUM · $12.7M to $12.1M
    Mar 31, 2019 to Mar 31, 2020
  • Non-discretionary RAUM · $87.4M to $98.2M
    Mar 31, 2019 to Mar 31, 2020
  • Pension RAUM · $4.5M to $3.2M
    Mar 31, 2019 to Mar 31, 2020
  • RAUM · $297M to $358M
    Mar 31, 2019 to Mar 31, 2020
  • Related insurance company · true to false
    Mar 31, 2019 to Mar 31, 2020
  • Accounts · 278 to 387
    Mar 29, 2018 to Mar 31, 2019
  • HNW clients · 39 to 44
    Mar 29, 2018 to Mar 31, 2019
  • Individual clients · 26 to 29
    Mar 29, 2018 to Mar 31, 2019
  • Assets in custody · $50.0M to $62.0M
    Mar 29, 2018 to Mar 31, 2019
  • Discretionary RAUM · $171M to $209M
    Mar 29, 2018 to Mar 31, 2019
  • HNW RAUM · $236M to $262M
    Mar 29, 2018 to Mar 31, 2019
  • Individual RAUM · $10.9M to $12.7M
    Mar 29, 2018 to Mar 31, 2019
  • Non-discretionary RAUM · $98.9M to $87.4M
    Mar 29, 2018 to Mar 31, 2019
  • Pension RAUM · $4.5M to $4.5M
    Mar 29, 2018 to Mar 31, 2019
  • RAUM · $270M to $297M
    Mar 29, 2018 to Mar 31, 2019
  • Advisory activities · 4 to 6
    Mar 31, 2017 to Mar 29, 2018
  • Charity clients · unset to 6.0
    Mar 31, 2017 to Mar 29, 2018
  • HNW clients · unset to 39.0
    Mar 31, 2017 to Mar 29, 2018
  • Individual clients · unset to 26.0
    Mar 31, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 31, 2017 to Mar 29, 2018
  • Assets in custody · $2.3M to $50.0M
    Mar 31, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 31, 2017 to Mar 29, 2018
  • Discretionary RAUM · $139M to $171M
    Mar 31, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 236445550.0
    Mar 31, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 10867900.0
    Mar 31, 2017 to Mar 29, 2018
Signals
3 dated events
  • J•• L••••••• H•••• left C•••••• W••••• M••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2022-01-20)
    Mar 2, 2022 · Advisor changed firm · fact
  • G•••••• O••••• D•••• left C•••••• W••••• M••••••••• L•• for R•• W••••• A••••••• L•• (registered 2022-05-26)
    Jan 12, 2022 · Advisor changed firm · fact
  • O'Neal Gregory Davis (Member) no longer on Schedule A of C•••••• W••••• M••••••••• L•• (listed 2019-03-31, absent 2020-03-31)
    Mar 31, 2020 · Control person left · inference
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