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
F••••• I••••••••• C••••••••• I•••
Latest filing Jul 13, 2026
First filing on the tape Apr 12, 2019 · 16 filings
SEC status approved since May 10, 2019
RAUM
$196M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$187M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$97.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$196M as of Jul 13, 2026
Mar 5, 2020$141M then
HNW client RAUM$160M as of Jul 13, 2026
Mar 5, 2020$97.6M then
State-registered IARs (5.B.3)2 as of Jul 13, 2026
Mar 5, 20202 then
Employees (5.A)3 as of Jul 13, 2026
Mar 5, 20203 then
Private funds: no history
RAUM +10% over the last fiscal year+5.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $97.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $639,024derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $14.3M, 20 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M82%
- Individuals$26.3M13%
- Charitable organizations$7.1M3.7%
- Pension and profit-sharing plans$1.7M0.9%
- Individual clients
- 59reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 306reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.3M for 20 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| R••••• W•••••• F•••••Chartered Financial Analyst | Memphis, Tn | Mar 27, 2013 | 13 y | 0 |
| M••• A•••• S•••••••••Certified Financial Planner, Personal Financial Specialist | Memphis, Tn | Feb 9, 2017 | 22 y | 1 |
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
- M••• A•••• S••••••••• from W•••••• • A••••••••• I••Feb 9, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• R•••••• W•••••• · Presidentcontrolsince 01/2018 · owns 50% to 75%
- P••••• M•••••••• M•••••• H••••• · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- S••••••••• M•••• A•••• · Vice President And Secretarycontrolsince 01/2018 · 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.
What changed
consecutive filings, newest first
- Accounts · 295 to 306Oct 1, 2025 to Feb 25, 2026
- HNW clients · 46 to 51Oct 1, 2025 to Feb 25, 2026
- Individual clients · 58 to 59Oct 1, 2025 to Feb 25, 2026
- Assets in custody · unset to 14256269.0Oct 1, 2025 to Feb 25, 2026
- Custody of client assets · false to trueOct 1, 2025 to Feb 25, 2026
- Discretionary RAUM · $177M to $196MOct 1, 2025 to Feb 25, 2026
- HNW RAUM · $143M to $160MOct 1, 2025 to Feb 25, 2026
- Individual RAUM · $23.6M to $26.3MOct 1, 2025 to Feb 25, 2026
- Pension RAUM · $1.7M to $1.7MOct 1, 2025 to Feb 25, 2026
- RAUM · $177M to $196MOct 1, 2025 to Feb 25, 2026
- Accounts · 290 to 295Mar 5, 2024 to Feb 19, 2025
- Charity clients · 2.0 to unsetMar 5, 2024 to Feb 19, 2025
- HNW clients · 45 to 46Mar 5, 2024 to Feb 19, 2025
- Individual clients · 63 to 58Mar 5, 2024 to Feb 19, 2025
- Pension plan clients · 3.0 to unsetMar 5, 2024 to Feb 19, 2025
- Financial planning clients · 26-50 to 26-50Mar 5, 2024 to Feb 19, 2025
- Discretionary RAUM · $165M to $177MMar 5, 2024 to Feb 19, 2025
- HNW RAUM · $126M to $143MMar 5, 2024 to Feb 19, 2025
- Individual RAUM · $23.9M to $23.6MMar 5, 2024 to Feb 19, 2025
- Pension RAUM · $2.9M to $1.7MMar 5, 2024 to Feb 19, 2025
- RAUM · $165M to $177MMar 5, 2024 to Feb 19, 2025
- Accounts · 297 to 290Feb 23, 2023 to Mar 5, 2024
- Charity clients · 1 to 2Feb 23, 2023 to Mar 5, 2024
- HNW clients · 43 to 45Feb 23, 2023 to Mar 5, 2024
- Individual clients · 65 to 63Feb 23, 2023 to Mar 5, 2024
- Discretionary RAUM · $166M to $165MFeb 23, 2023 to Mar 5, 2024
- HNW RAUM · $118M to $126MFeb 23, 2023 to Mar 5, 2024
- Individual RAUM · $22.0M to $23.9MFeb 23, 2023 to Mar 5, 2024
- Pension RAUM · $17.6M to $2.9MFeb 23, 2023 to Mar 5, 2024
- RAUM · $166M to $165MFeb 23, 2023 to Mar 5, 2024
- Accounts · 291 to 297Jun 28, 2022 to Feb 23, 2023
- Charity clients · unset to 1.0Jun 28, 2022 to Feb 23, 2023
- HNW clients · 45 to 43Jun 28, 2022 to Feb 23, 2023
- Individual clients · 63 to 65Jun 28, 2022 to Feb 23, 2023
- Pension plan clients · unset to 3.0Jun 28, 2022 to Feb 23, 2023
- Discretionary RAUM · $177M to $166MJun 28, 2022 to Feb 23, 2023
- HNW RAUM · $124M to $118MJun 28, 2022 to Feb 23, 2023
- Individual RAUM · $21.0M to $22.0MJun 28, 2022 to Feb 23, 2023
- Pension RAUM · $22.0M to $17.6MJun 28, 2022 to Feb 23, 2023
- RAUM · $177M to $166MJun 28, 2022 to Feb 23, 2023
Signals
2 dated events
- Mansell Hughes Meredith Poore (02Chief Compliance Officer) appeared on Schedule A of F••••• I••••••••• C••••••••• I•••Mar 5, 2020 · Control person joined · fact
- F••••• I••••••••• C••••••••• I••• filed its initial SEC registration (Form ADV)Apr 12, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- meredith@frazeeinvestment.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 901-779-3940reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 901-779-3940reportedpublic record, Form ADV, Jul 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
- $97.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026