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
P•••••• W••••• M••••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Mar 28, 2012 · 21 filings
SEC status approved since May 31, 2002
RAUM
$832M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$823M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$416M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$832M as of Mar 13, 2026
Mar 28, 2012$314M then
HNW client RAUM$808M as of Mar 13, 2026
Mar 29, 2018$598M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Mar 13, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +8.4% over the last fiscal year+1.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $416MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.0%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
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $156M, 52 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$808M97%
- Individuals$15.8M1.9%
- Charitable organizations$8.6M1.0%
- Corporations and businesses$505,8370.1%
- Individual clients
- 46reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 571reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $156M for 52 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M• R••••••Certified Financial Planner | Memphis, Tn | Jan 26, 2004 | 25 y | 0 |
| J••••• P• H••••• | Memphis, Tn | Feb 20, 2024 | 38 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••••• P• · Presidentcontrolsince 05/2002 · owns 50% to 75%
- R••••••• S••••• M• · Vice President - Chief Compliance Officer (11/2018)controlsince 05/2002 · owns 25% to 50%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 13, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- compensation changedChange between filings · filing Mar 13, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-10-14, no on the filing of 2026-03-13peers: independent wealth managers, $500M to $1B (1,482)
- custody status changedChange between filings · filing Mar 13, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-14, yes on the filing of 2026-03-13peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 577 to 571Oct 14, 2025 to Mar 13, 2026
- HNW clients · 78 to 85Oct 14, 2025 to Mar 13, 2026
- Individual clients · 47 to 46Oct 14, 2025 to Mar 13, 2026
- Assets in custody · unset to 156212009.0Oct 14, 2025 to Mar 13, 2026
- Custody of client assets · false to trueOct 14, 2025 to Mar 13, 2026
- HNW RAUM · $743M to $808MOct 14, 2025 to Mar 13, 2026
- Individual RAUM · $17.1M to $15.8MOct 14, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $768M to $832MOct 14, 2025 to Mar 13, 2026
- RAUM · $768M to $832MOct 14, 2025 to Mar 13, 2026
- Accounts · 509 to 577Feb 16, 2024 to Mar 10, 2025
- HNW clients · 74 to 78Feb 16, 2024 to Mar 10, 2025
- Individual clients · 44 to 47Feb 16, 2024 to Mar 10, 2025
- Financial planning clients · 101-250 to 101-250Feb 16, 2024 to Mar 10, 2025
- HNW RAUM · $677M to $743MFeb 16, 2024 to Mar 10, 2025
- Individual RAUM · $14.4M to $17.1MFeb 16, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $699M to $768MFeb 16, 2024 to Mar 10, 2025
- RAUM · $699M to $768MFeb 16, 2024 to Mar 10, 2025
- HNW clients · 75 to 74Nov 3, 2023 to Feb 16, 2024
- Individual clients · 39 to 44Nov 3, 2023 to Feb 16, 2024
- State-registered IARs · 0 to 2Nov 3, 2023 to Feb 16, 2024
- HNW RAUM · $662M to $677MNov 3, 2023 to Feb 16, 2024
- Individual RAUM · $12.0M to $14.4MNov 3, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $682M to $699MNov 3, 2023 to Feb 16, 2024
- RAUM · $682M to $699MNov 3, 2023 to Feb 16, 2024
- Accounts · 611 to 509Mar 20, 2023 to Nov 3, 2023
- HNW clients · 67 to 75Mar 20, 2023 to Nov 3, 2023
- Individual clients · 3 to 39Mar 20, 2023 to Nov 3, 2023
- Financial planning clients · 51-100 to 101-250Mar 20, 2023 to Nov 3, 2023
- HNW RAUM · $791M to $662MMar 20, 2023 to Nov 3, 2023
- Individual RAUM · $1.4M to $12.0MMar 20, 2023 to Nov 3, 2023
- Non-discretionary RAUM · $793M to $682MMar 20, 2023 to Nov 3, 2023
- RAUM · $793M to $682MMar 20, 2023 to Nov 3, 2023
- Accounts · 616 to 611Mar 11, 2022 to Mar 20, 2023
- HNW clients · 68 to 67Mar 11, 2022 to Mar 20, 2023
- Individual clients · 4 to 3Mar 11, 2022 to Mar 20, 2023
- HNW RAUM · $827M to $791MMar 11, 2022 to Mar 20, 2023
- Individual RAUM · $1.8M to $1.4MMar 11, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $829M to $793MMar 11, 2022 to Mar 20, 2023
- RAUM · $829M to $793MMar 11, 2022 to Mar 20, 2023
- Accounts · 594 to 616Mar 25, 2021 to Mar 11, 2022
Signals
No event on the tape.
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
- 901-322-4212reportedpublic record, Form ADV, Mar 13, 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
- $416Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026