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

Wunderlich Capital Management

Former SEC-registered adviserMemphis, TennesseeCRD 117878SEC 801-79842IAPD
Legal name Wunderlich Capital Management, LLC
Latest filing Feb 13, 2024
First filing on the tape Feb 7, 2012 · 26 filings
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
40%
$92.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
26 filings and snapshots on the tape
RAUM$231M as of Feb 13, 2024
Feb 7, 2012$74.5M then
HNW client RAUM$62.1M as of Feb 13, 2024
Feb 6, 2018$30.0M then
State-registered IARs (5.B.3)1 as of Feb 13, 2024
Jan 20, 20151 then
Employees (5.A)1 as of Feb 13, 2024
Jan 20, 20151 then
Private funds: no history
RAUM +20% over the last fiscal year+7.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 13, 2024; every figure names its basis
RAUM per advisor
$231MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
91derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%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
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$62.1M61%
  • Individuals$30.3M30%
  • Corporations and businesses$5.8M5.7%
  • Charitable organizations$2.4M2.4%
  • Pension and profit-sharing plans$1.1M1.1%
Individual clients
53reported
HNW clients
38reported
Pension plan clients
2reported
Charitable clients
2reported
Accounts
200reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $186M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Shields Philip Wunderlich · Managing Member, Chief Compliance Officercontrol
    since 08/1999 · owns 75% or more
Entity owners
  • B Riley Wealth Management Holdings, Inc. · Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Wunderlich Capital Management as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Memphis, Tn · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 199 to 200
    Feb 28, 2023 to Feb 13, 2024
  • Charity clients · 1 to 2
    Feb 28, 2023 to Feb 13, 2024
  • Corporate clients · 3 to 4
    Feb 28, 2023 to Feb 13, 2024
  • HNW clients · 39 to 38
    Feb 28, 2023 to Feb 13, 2024
  • Pension plan clients · 1 to 2
    Feb 28, 2023 to Feb 13, 2024
  • Discretionary RAUM · $192M to $231M
    Feb 28, 2023 to Feb 13, 2024
  • HNW RAUM · $48.5M to $62.1M
    Feb 28, 2023 to Feb 13, 2024
  • Individual RAUM · $22.0M to $30.3M
    Feb 28, 2023 to Feb 13, 2024
  • Pension RAUM · $661,278 to $1.1M
    Feb 28, 2023 to Feb 13, 2024
  • RAUM · $192M to $231M
    Feb 28, 2023 to Feb 13, 2024
  • Wrap assets (manager) · $157M to $186M
    Feb 28, 2023 to Feb 13, 2024
  • Accounts · 187 to 199
    Jul 28, 2022 to Feb 28, 2023
  • Corporate clients · unset to 3.0
    Jul 28, 2022 to Feb 28, 2023
  • HNW clients · 47 to 39
    Jul 28, 2022 to Feb 28, 2023
  • Individual clients · 50 to 53
    Jul 28, 2022 to Feb 28, 2023
  • Discretionary RAUM · $226M to $192M
    Jul 28, 2022 to Feb 28, 2023
  • HNW RAUM · $70.1M to $48.5M
    Jul 28, 2022 to Feb 28, 2023
  • Individual RAUM · $27.0M to $22.0M
    Jul 28, 2022 to Feb 28, 2023
  • Pension RAUM · $720,549 to $661,278
    Jul 28, 2022 to Feb 28, 2023
  • RAUM · $226M to $192M
    Jul 28, 2022 to Feb 28, 2023
  • Wrap assets (manager) · $186M to $157M
    Jul 28, 2022 to Feb 28, 2023
  • Accounts · 176 to 187
    Nov 29, 2021 to Feb 1, 2022
  • HNW clients · 41 to 47
    Nov 29, 2021 to Feb 1, 2022
  • Individual clients · 44 to 50
    Nov 29, 2021 to Feb 1, 2022
  • Discretionary RAUM · $187M to $226M
    Nov 29, 2021 to Feb 1, 2022
  • HNW RAUM · $48.8M to $70.1M
    Nov 29, 2021 to Feb 1, 2022
  • Individual RAUM · $20.8M to $27.0M
    Nov 29, 2021 to Feb 1, 2022
  • Pension RAUM · $559,993 to $720,549
    Nov 29, 2021 to Feb 1, 2022
  • RAUM · $187M to $226M
    Nov 29, 2021 to Feb 1, 2022
  • Wrap assets (manager) · $151M to $186M
    Nov 29, 2021 to Feb 1, 2022
  • Accounts · 177 to 176
    Jul 28, 2020 to Feb 9, 2021
  • HNW clients · 53 to 41
    Jul 28, 2020 to Feb 9, 2021
  • Individual clients · 41 to 44
    Jul 28, 2020 to Feb 9, 2021
  • Discretionary RAUM · $167M to $187M
    Jul 28, 2020 to Feb 9, 2021
  • HNW RAUM · $68.0M to $48.8M
    Jul 28, 2020 to Feb 9, 2021
  • Individual RAUM · $20.2M to $20.8M
    Jul 28, 2020 to Feb 9, 2021
  • Pension RAUM · $616,763 to $559,993
    Jul 28, 2020 to Feb 9, 2021
  • RAUM · $167M to $187M
    Jul 28, 2020 to Feb 9, 2021
  • Wrap assets (manager) · $134M to $151M
    Jul 28, 2020 to Feb 9, 2021
  • Accounts · 165 to 177
    Nov 22, 2019 to Feb 13, 2020
Signals
2 dated events
  • Philip Shields Wunderlich left Wunderlich Capital Management for B. Riley Wealth Advisors, Inc. (registered 2022-08-29)
    Sep 20, 2024 · Advisor changed firm · fact
  • Wunderlich Capital Management filed its initial SEC registration (Form ADV)
    May 23, 2014 · First SEC registration · 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