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
M•••••• I••••••••• G••••
Legal name G••• L••
Latest filing Jul 16, 2026
First filing on the tape May 28, 2021 · 12 filings
SEC status approved since Jul 1, 2021
RAUM
$253M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$229M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$84.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$253M as of Jul 16, 2026
Mar 10, 2022$153M then
HNW client RAUM$214M as of Jul 16, 2026
Mar 10, 2022$113M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
Mar 10, 20224 then
Employees (5.A)3 as of Jul 16, 2026
Mar 10, 20224 then
Private funds: no history
RAUM -7.2% over the last fiscal year+30% a year over threeIARs 5 to 3
Practice profile
derived from the filing of Jul 16, 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
- $84.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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$214M85%
- Pooled investment vehicles$15.5M6.1%
- Individuals$15.0M5.9%
- Charitable organizations$8.5M3.4%
- Individual clients
- 32reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 131reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.06 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• B• G•••••• | Memphis, Tn | Nov 26, 2025 | 39 y | 1 |
| E••••• C•••••• G•••••• | Memphis, Tn | Dec 4, 2025 | 11 y | 0 |
| C•••• A•••• G••••• | Memphis, Tn | Dec 9, 2025 | 20 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•••• R• S•••• to U•• F•••••••• S••••••• I•••Feb 3, 2006 · RIA to wirehouse
Joined, latest
- C•••• A•••• G••••• from F•••• T•••••••• A••••••• S•••••••• I•••Dec 9, 2025 · Other
- J•••• R• S•••• from M••••• K••••• • C••••••• L••Apr 21, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• C••••• A•••• · Secretary, Chief Marketing Officercontrolsince 03/2013 · owns less than 5%
- G••••••• F••••• B• · Managercontrolsince 03/2013 · owns 25% to 50%
- H•••• R•••••• J•••••• · Vice-Managercontrolsince 03/2014 · owns 25% to 50%
- G••••••• C••••••• F• · Membersince 09/2020 · owns less than 5%
- G••••••• E•••••• C•••••• · Chief Compliance Officer, Membersince 10/2019 · owns less than 5%
- W•••••• J••• · Membersince 02/2004 · owns 10% to 25%
- W•••••• K•••• · Membersince 02/2004 · owns 10% to 25%
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 | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Feb 16, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-03-17 and 2026-02-16; the peer median change was 0.0% (965 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 2.6% percentile
- client mix shiftChange between filings · filing Feb 16, 2026private-client share of RAUM moved from 72.0% to 91.0% between the annual amendments of 2025-03-17 and 2026-02-16peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Feb 16, 2026HNW share of RAUM moved from 67.0% to 85.0% between the annual amendments of 2025-03-17 and 2026-02-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 117 to 131Mar 17, 2025 to Feb 16, 2026
- Advisory employees · 5 to 3Mar 17, 2025 to Feb 16, 2026
- Charity clients · unset to 1.0Mar 17, 2025 to Feb 16, 2026
- HNW clients · 59 to 62Mar 17, 2025 to Feb 16, 2026
- Individual clients · 29 to 32Mar 17, 2025 to Feb 16, 2026
- Employees · 5 to 3Mar 17, 2025 to Feb 16, 2026
- State-registered IARs · 5 to 3Mar 17, 2025 to Feb 16, 2026
- Discretionary RAUM · $272M to $253MMar 17, 2025 to Feb 16, 2026
- HNW RAUM · $184M to $214MMar 17, 2025 to Feb 16, 2026
- Individual RAUM · $13.0M to $15.0MMar 17, 2025 to Feb 16, 2026
- Pooled vehicle RAUM · $67.6M to $15.5MMar 17, 2025 to Feb 16, 2026
- RAUM · $272M to $253MMar 17, 2025 to Feb 16, 2026
- Accounts · 112 to 117Mar 8, 2024 to Mar 17, 2025
- HNW clients · 60 to 59Mar 8, 2024 to Mar 17, 2025
- Individual clients · 24 to 29Mar 8, 2024 to Mar 17, 2025
- Pooled vehicle clients · 5 to 6Mar 8, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Mar 8, 2024 to Mar 17, 2025
- Discretionary RAUM · $180M to $272MMar 8, 2024 to Mar 17, 2025
- HNW RAUM · $126M to $184MMar 8, 2024 to Mar 17, 2025
- Individual RAUM · $8.9M to $13.0MMar 8, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $39.3M to $67.6MMar 8, 2024 to Mar 17, 2025
- RAUM · $180M to $272MMar 8, 2024 to Mar 17, 2025
- Accounts · 105 to 112Jul 25, 2023 to Mar 8, 2024
- HNW clients · 54 to 60Jul 25, 2023 to Mar 8, 2024
- Individual clients · 28 to 24Jul 25, 2023 to Mar 8, 2024
- Pooled vehicle clients · 1 to 5Jul 25, 2023 to Mar 8, 2024
- Discretionary RAUM · $115M to $180MJul 25, 2023 to Mar 8, 2024
- HNW RAUM · $85.6M to $126MJul 25, 2023 to Mar 8, 2024
- Individual RAUM · $6.7M to $8.9MJul 25, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $19.5M to $39.3MJul 25, 2023 to Mar 8, 2024
- RAUM · $115M to $180MJul 25, 2023 to Mar 8, 2024
- Accounts · 97 to 105Mar 10, 2022 to Mar 28, 2023
- Advisory employees · 4 to 5Mar 10, 2022 to Mar 28, 2023
- HNW clients · 53 to 54Mar 10, 2022 to Mar 28, 2023
- Individual clients · 24 to 28Mar 10, 2022 to Mar 28, 2023
- Employees · 4 to 5Mar 10, 2022 to Mar 28, 2023
- State-registered IARs · 4 to 5Mar 10, 2022 to Mar 28, 2023
- Discretionary RAUM · $153M to $115MMar 10, 2022 to Mar 28, 2023
- HNW RAUM · $113M to $85.6MMar 10, 2022 to Mar 28, 2023
- Individual RAUM · $6.2M to $6.7MMar 10, 2022 to Mar 28, 2023
Signals
1 dated events
- M•••••• I••••••••• G•••• filed its initial SEC registration (Form ADV)May 28, 2021 · ria f•••• adv filing · 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 phone
- 901-327-2788reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 901-327-4425reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-330-9390reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 901-327-2788reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- merc-invest.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- merc-invest.com/about/management-teamreportedpublished by the firm, firm site, Sep 15, 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
- $84.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026