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

T•••••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserRidgeland, MississippiCRD 118826SEC 801-60966IAPD
Latest filing Mar 23, 2022
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$2.6B as of Mar 23, 2022
Mar 30, 2012$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 23, 2022
Mar 30, 20120 then
Employees (5.A)11 as of Mar 23, 2022
Apr 1, 201312 then
Private funds: no history
RAUM +2.9% over the last fiscal year+5.4% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 23, 2022; every figure names its basis
RAUM per advisor
$263MderivedRAUM 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
$2.6BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
3.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+2.9%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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Custody
$2.6B, 1 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Banks and thrifts$2.6B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$2.6B for 1 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• A•••••• P••••• · Directorcontrol
    since 02/2020 · owns less than 5%
  • J•••••• H••••• R•• · President And Chief Investment Officercontrol
    since 08/2013 · owns less than 5%
  • K•••• M•••••• · Director And Secretarycontrol
    since 02/2016 · owns less than 5%
  • N••••••• E••••••••• W••••••• · Directorcontrol
    since 02/2016 · owns less than 5%
  • P•••••• C•••• J••••• · Chief Compliance Officer
    since 08/2008 · owns less than 5%
Entity owners
  • T•••••••• N••••••• B••• · Shareholder
    direct · owns 75% or more
  • T•••••••• C••••••••• · Owner
    indirect · owns 75% or more of T•••••••• N••••••• B••• · public reporting company
Related persons
Schedule D 7.A
  • F••••• B•••• B••••••• I••••••••• I••
    real estaten
  • T•••••••• N••••••• B•••
    custodiany
Offices
Schedule D 1.F, the 25 largest
  • Houston, TX1 employees
  • Mobile, AL1 employees
What changed
consecutive filings, newest first
  • Assets in custody · $2.6B to $2.6B
    Dec 14, 2021 to Mar 23, 2022
  • Financial planning clients · 0 to 1-10
    Dec 14, 2021 to Mar 23, 2022
  • Discretionary RAUM · $2.6B to $2.6B
    Dec 14, 2021 to Mar 23, 2022
  • RAUM · $2.6B to $2.6B
    Dec 14, 2021 to Mar 23, 2022
  • Advisory activities · 2 to 3
    Dec 24, 2020 to Mar 25, 2021
  • Assets in custody · $2.6B to $2.6B
    Dec 24, 2020 to Mar 25, 2021
  • Other offices · 1 to 2
    Dec 24, 2020 to Mar 25, 2021
  • Discretionary RAUM · $2.6B to $2.6B
    Dec 24, 2020 to Mar 25, 2021
  • RAUM · $2.6B to $2.6B
    Dec 24, 2020 to Mar 25, 2021
  • HQ city · JACKSON to RIDGELAND
    Mar 26, 2020 to Dec 24, 2020
  • State-registered IARs · 9 to 10
    Mar 26, 2020 to Dec 24, 2020
  • Other offices · 2 to 1
    Mar 26, 2020 to Dec 24, 2020
  • Advisory employees · 11 to 10
    Mar 27, 2019 to Mar 26, 2020
  • Assets in custody · $2.2B to $2.6B
    Mar 27, 2019 to Mar 26, 2020
  • Employees · 12 to 11
    Mar 27, 2019 to Mar 26, 2020
  • State-registered IARs · 10 to 9
    Mar 27, 2019 to Mar 26, 2020
  • Other offices · 3 to 2
    Mar 27, 2019 to Mar 26, 2020
  • Discretionary RAUM · $2.2B to $2.6B
    Mar 27, 2019 to Mar 26, 2020
  • RAUM · $2.2B to $2.6B
    Mar 27, 2019 to Mar 26, 2020
  • Advisory employees · 9 to 11
    Apr 18, 2018 to Mar 27, 2019
  • Assets in custody · $2.1B to $2.2B
    Apr 18, 2018 to Mar 27, 2019
  • Employees · 9 to 12
    Apr 18, 2018 to Mar 27, 2019
  • State-registered IARs · 9 to 10
    Apr 18, 2018 to Mar 27, 2019
  • Discretionary RAUM · $2.1B to $2.2B
    Apr 18, 2018 to Mar 27, 2019
  • RAUM · $2.1B to $2.2B
    Apr 18, 2018 to Mar 27, 2019
  • Advisory employees · 10 to 9
    Mar 3, 2017 to Mar 30, 2018
  • Advisory activities · 3 to 2
    Mar 3, 2017 to Mar 30, 2018
  • Assets in custody · $1.6B to $2.1B
    Mar 3, 2017 to Mar 30, 2018
  • Employees · 10 to 9
    Mar 3, 2017 to Mar 30, 2018
  • State-registered IARs · 10 to 9
    Mar 3, 2017 to Mar 30, 2018
  • Other offices · unset to 3.0
    Mar 3, 2017 to Mar 30, 2018
  • Discretionary RAUM · $1.6B to $2.1B
    Mar 3, 2017 to Mar 30, 2018
  • RAUM · $1.6B to $2.1B
    Mar 3, 2017 to Mar 30, 2018
  • Advisory employees · 11 to 10
    Mar 18, 2016 to Mar 3, 2017
  • Assets in custody · $1.5B to $1.6B
    Mar 18, 2016 to Mar 3, 2017
  • Employees · 12 to 10
    Mar 18, 2016 to Mar 3, 2017
  • State-registered IARs · 11 to 10
    Mar 18, 2016 to Mar 3, 2017
  • Discretionary RAUM · $1.5B to $1.6B
    Mar 18, 2016 to Mar 3, 2017
  • RAUM · $1.5B to $1.6B
    Mar 18, 2016 to Mar 3, 2017
  • Assets in custody · $1.6B to $1.5B
    Mar 31, 2015 to Mar 18, 2016
Signals
4 dated events
  • K•••••• F••• H•••••• left T•••••••• I••••••••• A•••••••• I••• for L•••••• I••••••••• M••••••••• I••• (registered 2024-06-03)
    Jan 2, 2023 · Advisor changed firm · fact
  • Halden Robert Spaulding (Director) no longer on Schedule A of T•••••••• I••••••••• A•••••••• I••• (listed 2019-03-27, absent 2020-03-26)
    Mar 26, 2020 · Control person left · inference
  • Porter Andrew Cleland (Director) appeared on Schedule A of T•••••••• I••••••••• A•••••••• I•••
    Mar 26, 2020 · Control person joined · fact
  • T•••••••• I••••••••• A•••••••• I••• reported RAUM $2.1B, up 28% from $1.6B (2017-03-03 to 2018-03-30)
    Mar 30, 2018 · 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.
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