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

S•••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserRidgeland, MississippiCRD 133587SEC 801-63763IAPD
Latest filing Mar 22, 2023
First filing on the tape Mar 28, 2012 · 18 filings
RAUM
$747M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$606M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
18 filings and snapshots on the tape
RAUM$747M as of Mar 22, 2023
Mar 28, 2012$382M then
HNW client RAUM$478M as of Mar 22, 2023
Mar 28, 2018$479M then
State-registered IARs (5.B.3)3 as of Mar 22, 2023
Mar 28, 20120 then
Employees (5.A)3 as of Mar 22, 2023
Mar 19, 20134 then
Private funds: no history
RAUM -17% over the last fiscal year-1.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
RAUM per advisor
$249MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
171derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
18%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
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$132M, 143 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$478M64%
  • Individuals$128M17%
  • Pension and profit-sharing plans$67.5M9.0%
  • Charitable organizations$63.6M8.5%
  • Corporations and businesses$9.6M1.3%
Individual clients
328reported
HNW clients
184reported
Pension plan clients
n/areported
Charitable clients
9reported
Accounts
534reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$132M for 143 clientsreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••••• E•••••• L• · Chief Compliance Officercontrol
      since 01/2010 · owns less than 5%
    • M••••••••• D••••••• P••• · Managing Membercontrol
      since 11/2019 · owns less than 5%
    • R••••••• J•••••• M• · Managing Membercontrol
      since 11/2019 · owns less than 5%
    • C•••••••• E•••••• L• · Presidentcontrol
      since 01/2008 · owns 75% or more of Edward Carlisle, Inc.
    • M••••••••• D••••••• P••• · Presidentcontrol
      since 04/2010 · owns 75% or more of Stockpile, Inc.
    • R••••••• J•••••• M• · Presidentcontrol
      since 04/2005 · owns 75% or more of Jubilee Investments, Inc.
    Entity owners
    • E••••• C•••••••• I••• · Owner
      direct · owns 25% to 50%
    • J•••••• I••••••••• I••• · Owner
      direct · owns 25% to 50%
    • S••••••••• I••• · Owner
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Ridgeland, Ms · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 533 to 534
      Jan 25, 2022 to Mar 22, 2023
    • Business name · MEDLEY & BROWN to SOUNDPATH INVESTMENT ADVISORS, LLC
      Jan 25, 2022 to Mar 22, 2023
    • Corporate clients · 8 to 9
      Jan 25, 2022 to Mar 22, 2023
    • HNW clients · 207 to 184
      Jan 25, 2022 to Mar 22, 2023
    • Individual clients · 305 to 328
      Jan 25, 2022 to Mar 22, 2023
    • Assets in custody · $123M to $132M
      Jan 25, 2022 to Mar 22, 2023
    • Discretionary RAUM · $904M to $747M
      Jan 25, 2022 to Mar 22, 2023
    • HNW RAUM · $611M to $478M
      Jan 25, 2022 to Mar 22, 2023
    • Individual RAUM · $132M to $128M
      Jan 25, 2022 to Mar 22, 2023
    • Pension RAUM · $74.9M to $67.5M
      Jan 25, 2022 to Mar 22, 2023
    • RAUM · $904M to $747M
      Jan 25, 2022 to Mar 22, 2023
    • Legal name · MEDLEY & BROWN,LLC to SOUNDPATH INVESTMENT ADVISORS, LLC
      Jan 17, 2022 to Jan 25, 2022
    • Advisory employees · 4 to 3
      Mar 29, 2021 to Jan 17, 2022
    • Corporate clients · 5 to 8
      Mar 29, 2021 to Jan 17, 2022
    • HNW clients · 179 to 207
      Mar 29, 2021 to Jan 17, 2022
    • Individual clients · 334 to 305
      Mar 29, 2021 to Jan 17, 2022
    • Pension plan clients · 5.0 to unset
      Mar 29, 2021 to Jan 17, 2022
    • Assets in custody · $125M to $123M
      Mar 29, 2021 to Jan 17, 2022
    • Employees · 4 to 3
      Mar 29, 2021 to Jan 17, 2022
    • State-registered IARs · 4 to 3
      Mar 29, 2021 to Jan 17, 2022
    • Discretionary RAUM · $803M to $904M
      Mar 29, 2021 to Jan 17, 2022
    • HNW RAUM · $532M to $611M
      Mar 29, 2021 to Jan 17, 2022
    • Individual RAUM · $135M to $132M
      Mar 29, 2021 to Jan 17, 2022
    • Pension RAUM · $64.6M to $74.9M
      Mar 29, 2021 to Jan 17, 2022
    • RAUM · $803M to $904M
      Mar 29, 2021 to Jan 17, 2022
    • Accounts · 520 to 533
      Oct 9, 2020 to Mar 29, 2021
    • Charity clients · 8 to 9
      Oct 9, 2020 to Mar 29, 2021
    • Individual clients · 323 to 334
      Oct 9, 2020 to Mar 29, 2021
    • Assets in custody · $128M to $125M
      Oct 9, 2020 to Mar 29, 2021
    • Discretionary RAUM · $787M to $803M
      Oct 9, 2020 to Mar 29, 2021
    • HNW RAUM · $522M to $532M
      Oct 9, 2020 to Mar 29, 2021
    • Individual RAUM · $141M to $135M
      Oct 9, 2020 to Mar 29, 2021
    • Pension RAUM · $59.8M to $64.6M
      Oct 9, 2020 to Mar 29, 2021
    • RAUM · $787M to $803M
      Oct 9, 2020 to Mar 29, 2021
    • Advisory employees · 5 to 4
      Jun 22, 2020 to Oct 9, 2020
    • Employees · 5 to 4
      Jun 22, 2020 to Oct 9, 2020
    • State-registered IARs · 5 to 4
      Jun 22, 2020 to Oct 9, 2020
    • Accounts · 519 to 520
      Mar 27, 2019 to Mar 30, 2020
    • Charity clients · 7 to 8
      Mar 27, 2019 to Mar 30, 2020
    • HNW clients · 159 to 179
      Mar 27, 2019 to Mar 30, 2020
    Signals
    5 dated events
    • Douglas Paul Muenzenmay left Soundpath Investment Advisors, Llc for Waverly Advisors, Llc (registered 2023-10-27)
      Nov 16, 2023 · Advisor changed firm · fact
    • Julius M Ridgway left Soundpath Investment Advisors, Llc for Waverly Advisors, Llc (registered 2023-10-26)
      Nov 16, 2023 · Advisor changed firm · fact
    • Edward L. Carlisle left Soundpath Investment Advisors, Llc for Waverly Advisors, Llc (registered 2023-10-26)
      Nov 16, 2023 · Advisor changed firm · fact
    • Soundpath Investment Advisors, LLC's advisors moved to Waverly Advisors, LLC (Ridgeland, MS): 3 of 3 registered, on the same day
      Nov 16, 2023 · Firm absorbed (people side) · derived
    • Cox Timothy Medley (President) no longer on Schedule A of Soundpath Investment Advisors, Llc (listed 2020-06-22, absent 2020-10-09)
      Oct 9, 2020 · Control person left · inference
    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