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

N•• I••••••••• L••

Wealth manager with institutional or fund businessMemphis, TennesseeCRD 132844SEC 801-63560websiteIAPD
Latest filing Feb 6, 2026
First filing on the tape Jan 23, 2012 · 22 filings
SEC status approved since Oct 7, 2004
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$520M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.1B as of Feb 6, 2026
Jan 23, 2012$368M then
HNW client RAUM$520M as of Feb 6, 2026
Jan 18, 2018$362M then
State-registered IARs (5.B.3)0 as of Feb 6, 2026
Jan 23, 20120 then
Employees (5.A)9 as of Feb 6, 2026
Jan 15, 20136 then
Private funds6 as of Feb 6, 2026
Jan 23, 20123 then
RAUM +5.0% over the last fiscal year+6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$1.1BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$13.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$304M, 4 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$895M42%
  • High-net-worth individuals$520M24%
  • Corporations and businesses$396M19%
  • Pooled investment vehicles$305M14%
  • Charitable organizations$12.7M0.6%
  • Pension and profit-sharing plans$8.2M0.4%
Individual clients
n/areported
HNW clients
126reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
164reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$304M for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.24 fund_share=0.14 institutional_share=0.43 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W•••••• V•• T•••••••Chartered Financial AnalystMemphis, TnJan 17, 200626 y1
C•••••• K••• S••••••Memphis, TnJan 1, 202640 y1
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
Private funds
8 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
N•• P•••••••• L••Hedge Fund$150M45Jan 23, 2012
N•• I•••••••• P•••••••• L••Hedge Fund$131M40Jan 23, 2012
W•• P•••••••• L••Private Equity Fund$44.0M10Jan 23, 2012
E• H•••••••• L••no longer reportedOther Private Fund$40.0M3Jan 27, 2017
N•• A•••••• R••••••••• L••Private Equity Fund$34.0M45Mar 10, 2022
N•• G•••• V•••••••• L••no longer reportedPrivate Equity Fund$19.0M25Jan 18, 2018
K••• H•••••••• L••Private Equity Fund$6.1M15Mar 10, 2022
D•••• H•••••••• L••Other Private Fund$015Jan 27, 2017
Owners and control persons
Schedule A and B, latest filing
  • B••••• D•••••• T•••• · Vice President; Chief Membercontrol
    since 06/2019 · owns less than 5%
  • G•••••• E••••• B•••••••• · Vice President; Membercontrol
    since 01/2010 · owns less than 5%
  • S••••••• C••••••• K••• · Chief Executive Officer; Membercontrol
    since 06/2004 · owns 50% to 75%
  • T•••••••• W••••••• V•• · President; Chiefcontrol
    since 01/2006 · owns 10% to 25%
  • H•••••• S••••• B•••••• · Member
    since 07/2014 · owns 5% to 10%
  • H•••••• W••••••• E••••• · Member
    since 06/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Memphis, Tn · principal210
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 153 to 164
    Jan 9, 2025 to Feb 6, 2026
  • HNW clients · 115 to 126
    Jan 9, 2025 to Feb 6, 2026
  • Pension plan clients · 5.0 to unset
    Jan 9, 2025 to Feb 6, 2026
  • Assets in custody · $298M to $304M
    Jan 9, 2025 to Feb 6, 2026
  • Discretionary RAUM · $2.0B to $2.1B
    Jan 9, 2025 to Feb 6, 2026
  • HNW RAUM · $493M to $520M
    Jan 9, 2025 to Feb 6, 2026
  • Pension RAUM · $14.0M to $8.2M
    Jan 9, 2025 to Feb 6, 2026
  • Pooled vehicle RAUM · $300M to $305M
    Jan 9, 2025 to Feb 6, 2026
  • RAUM · $2.0B to $2.1B
    Jan 9, 2025 to Feb 6, 2026
  • Accounts · 151 to 153
    Aug 12, 2024 to Jan 9, 2025
  • Corporate clients · 12 to 13
    Aug 12, 2024 to Jan 9, 2025
  • HNW clients · 113 to 115
    Aug 12, 2024 to Jan 9, 2025
  • Assets in custody · $256M to $298M
    Aug 12, 2024 to Jan 9, 2025
  • Financial planning clients · 0 to 0
    Aug 12, 2024 to Jan 9, 2025
  • Discretionary RAUM · $1.9B to $2.0B
    Aug 12, 2024 to Jan 9, 2025
  • HNW RAUM · $448M to $493M
    Aug 12, 2024 to Jan 9, 2025
  • Pension RAUM · $6.4M to $14.0M
    Aug 12, 2024 to Jan 9, 2025
  • Pooled vehicle RAUM · $257M to $300M
    Aug 12, 2024 to Jan 9, 2025
  • RAUM · $1.9B to $2.0B
    Aug 12, 2024 to Jan 9, 2025
  • Accounts · 152 to 151
    Jan 27, 2023 to Jan 19, 2024
  • HNW clients · 116 to 113
    Jan 27, 2023 to Jan 19, 2024
  • Pension plan clients · 6 to 5
    Jan 27, 2023 to Jan 19, 2024
  • Assets in custody · $224M to $256M
    Jan 27, 2023 to Jan 19, 2024
  • Discretionary RAUM · $1.8B to $1.9B
    Jan 27, 2023 to Jan 19, 2024
  • HNW RAUM · $509M to $448M
    Jan 27, 2023 to Jan 19, 2024
  • Pension RAUM · $6.2M to $6.4M
    Jan 27, 2023 to Jan 19, 2024
  • Pooled vehicle RAUM · $225M to $257M
    Jan 27, 2023 to Jan 19, 2024
  • RAUM · $1.8B to $1.9B
    Jan 27, 2023 to Jan 19, 2024
  • Accounts · 143 to 152
    Mar 10, 2022 to Jan 27, 2023
  • Corporate clients · 15 to 12
    Mar 10, 2022 to Jan 27, 2023
  • HNW clients · 108 to 116
    Mar 10, 2022 to Jan 27, 2023
  • Assets in custody · $233M to $224M
    Mar 10, 2022 to Jan 27, 2023
  • Employees · 8 to 9
    Mar 10, 2022 to Jan 27, 2023
  • Discretionary RAUM · $1.8B to $1.8B
    Mar 10, 2022 to Jan 27, 2023
  • HNW RAUM · $563M to $509M
    Mar 10, 2022 to Jan 27, 2023
  • Pension RAUM · $12.9M to $6.2M
    Mar 10, 2022 to Jan 27, 2023
  • Pooled vehicle RAUM · $233M to $225M
    Mar 10, 2022 to Jan 27, 2023
  • RAUM · $1.8B to $1.8B
    Mar 10, 2022 to Jan 27, 2023
  • Accounts · 146 to 143
    Mar 18, 2021 to Mar 10, 2022
  • Advisory employees · 4 to 5
    Mar 18, 2021 to Mar 10, 2022
Signals
1 dated events
  • Tyler Daniel Butts (Vice President; Member) appeared on Schedule A of N•• I••••••••• L••
    Jul 24, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business phone
901-767-1301reportedpublished by the firm, firm site, Sep 17, 2026
Business phone
901-767-5576reportedpublished by the firm, firm site, Sep 17, 2026
Website
H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
901-767-5576reportedpublic record, Form ADV, Feb 6, 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
Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor
$1.1Bderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026