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.

Former SEC-registered adviser

Fhn Financial Main Street Advisors, LLC

Former SEC-registered adviserLas Vegas, NevadaCRD 133719SEC 801-63805IAPD

Latest filing Oct 11, 2023

First filing on the tape Feb 28, 2012 · 41 filings

RAUM

$21B

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

41 filings and snapshots on the tape

RAUM$21B as of Mar 27, 2023

Feb 28, 2012$14B then

HNW client RAUM: no history

State-registered IARs (5.B.3)4 as of Mar 27, 2023

Mar 5, 20133 then

Employees (5.A)5 as of Mar 27, 2023

Mar 5, 20134 then

Private funds: no history

RAUM +36% over the last fiscal year+20% a year over threeIARs 3 to 4

Practice profile

derived from the filing of Oct 11, 2023; every figure names its basis

RAUM per advisor: $5.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $717MderivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +36%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership: a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$21B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 30reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, 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

Left, latest

Richard Lee Phillips to Meeder Public Funds, Inc.
Dec 22, 2023 · Other
Tonya L Dazzio to Meeder Public Funds, Inc.
Dec 22, 2023 · Other
Riley James Littlefield to Meeder Public Funds, Inc.
Dec 22, 2023 · Other
Gregory Dale Balls to Meeder Public Funds, Inc.
Dec 15, 2023 · Other
Daniel Victor Rusk to Moreton Asset Management, LLC
Jan 31, 2022 · Other
Nicholas Strobelt to Brookstone Wealth Advisors, LLC
May 5, 2014 · Other

Joined, latest

Gregory Dale Balls from Zions Capital Advisors, Inc.
Jul 9, 2014 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

4 left for Meeder Public Funds, Inc.
Dec 15, 2023 · Las Vegas, Nv · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Klein Richard Bollinger · Managercontrol
since 02/2012 · owns less than 5%
L Tonya Dazzio · Chief Compliance Officercontrol
since 02/2012 · owns less than 5%
Lee Richard Phillips · Presidentcontrol
since 02/2012 · owns less than 5%
Allen Donald Ritcheson · Managercontrol
since 02/2012 · owns less than 5%

Entity owners

First Horizon Bank · Owner
direct · owns 75% or more
First Horizon National Corp. · Owner
indirect · owns 75% or more of First Horizon Bank

Related persons

Schedule D 7.A

Fhn Financial Capital Markets
broker-dealern
Fhn Financial Municipal Advisors
n
Fhn Financial Securities Corp.
broker-dealern
First Horizon Advisors, Inc
broker-dealerinvestment advisernRAUM $14B
First Horizon Bank
y

Advisers that list Fhn Financial Main Street Advisors, LLC as a related person

143830 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Las Vegas, Nv · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 26 to 30
May 27, 2022 to Mar 27, 2023
Financial planning clients · 1-10 to 0
May 27, 2022 to Mar 27, 2023
State-registered IARs · 3 to 4
May 27, 2022 to Mar 27, 2023
Discretionary RAUM · $14B to $19B
May 27, 2022 to Mar 27, 2023
Non-discretionary RAUM · $1.7B to $2.9B
May 27, 2022 to Mar 27, 2023
RAUM · $16B to $21B
May 27, 2022 to Mar 27, 2023
Accounts · 24 to 26
Jun 28, 2021 to Feb 23, 2022
Advisory employees · 6 to 5
Jun 28, 2021 to Feb 23, 2022
Employees · 6 to 5
Jun 28, 2021 to Feb 23, 2022
State-registered IARs · 4 to 3
Jun 28, 2021 to Feb 23, 2022
Discretionary RAUM · $12B to $14B
Jun 28, 2021 to Feb 23, 2022
Non-discretionary RAUM · $1.5B to $1.7B
Jun 28, 2021 to Feb 23, 2022
RAUM · $14B to $16B
Jun 28, 2021 to Feb 23, 2022
Accounts · 22 to 24
May 6, 2020 to Mar 3, 2021
Discretionary RAUM · $12B to $12B
May 6, 2020 to Mar 3, 2021
Non-discretionary RAUM · $713M to $1.5B
May 6, 2020 to Mar 3, 2021
RAUM · $12B to $14B
May 6, 2020 to Mar 3, 2021
Accounts · 20 to 22
Nov 8, 2019 to Mar 3, 2020
Advisory employees · 4 to 6
Nov 8, 2019 to Mar 3, 2020
Discretionary RAUM · $10B to $12B
Nov 8, 2019 to Mar 3, 2020
Non-discretionary RAUM · $1.1B to $713M
Nov 8, 2019 to Mar 3, 2020
RAUM · $11B to $12B
Nov 8, 2019 to Mar 3, 2020
Business name · FTN FINANCIAL MAIN STREET ADVISORS LLC to FHN FINANCIAL MAIN STREET ADVISORS, LLC
Nov 5, 2019 to Nov 8, 2019
Legal name · FTN FINANCIAL MAIN STREET ADVISORS LLC to FHN FINANCIAL MAIN STREET ADVISORS, LLC
Nov 5, 2019 to Nov 5, 2019
Discretionary RAUM · $10B to $10B
Mar 28, 2019 to Mar 28, 2019
RAUM · $11B to $11B
Mar 28, 2019 to Mar 28, 2019
Accounts · 17 to 20
Nov 20, 2018 to Mar 20, 2019
Financial planning clients · 0 to 1-10
Nov 20, 2018 to Mar 20, 2019
Discretionary RAUM · $8.2B to $10B
Nov 20, 2018 to Mar 20, 2019
Non-discretionary RAUM · $71.9M to $1.1B
Nov 20, 2018 to Mar 20, 2019
RAUM · $8.3B to $11B
Nov 20, 2018 to Mar 20, 2019
Accounts · 24 to 17
Jan 9, 2018 to Mar 20, 2018
Advisory employees · 6 to 4
Jan 9, 2018 to Mar 20, 2018
State-registered IARs · 3 to 4
Jan 9, 2018 to Mar 20, 2018
Discretionary RAUM · $7.6B to $8.2B
Jan 9, 2018 to Mar 20, 2018
Non-discretionary RAUM · $26B to $71.9M
Jan 9, 2018 to Mar 20, 2018
RAUM · $33B to $8.3B
Jan 9, 2018 to Mar 20, 2018
Other offices · unset to 0.0
Mar 28, 2017 to Jan 9, 2018
Accounts · 20 to 24
Apr 12, 2016 to Mar 28, 2017
Advisory employees · 5 to 6
Apr 12, 2016 to Mar 28, 2017

Signals

10 dated events

Riley James Littlefield left Fhn Financial Main Street Advisors, Llc for Meeder Public Funds, Inc. (registered 2023-12-21)
Dec 22, 2023 · Advisor changed firm · fact
Tonya L Dazzio left Fhn Financial Main Street Advisors, Llc for Meeder Public Funds, Inc. (registered 2023-12-21)
Dec 22, 2023 · Advisor changed firm · fact
Richard Lee Phillips left Fhn Financial Main Street Advisors, Llc for Meeder Public Funds, Inc. (registered 2023-12-21)
Dec 22, 2023 · Advisor changed firm · fact
Gregory Dale Balls left Fhn Financial Main Street Advisors, Llc for Meeder Public Funds, Inc. (registered 2023-12-15)
Dec 15, 2023 · Advisor changed firm · fact
Fhn Financial Main Street Advisors, LLC's advisors moved to Meeder Public Funds, Inc. (Las Vegas, NV): 4 of 4 registered, within 7 days
Dec 15, 2023 · Firm absorbed (people side) · derived
Fhn Financial Main Street Advisors, Llc reported RAUM $21.5B, up 36% from $15.8B (2022-05-27 to 2023-03-27)
Mar 27, 2023 · RAUM change · derived
Daniel Victor Rusk left Fhn Financial Main Street Advisors, Llc for Moreton Asset Management, Llc (registered 2022-04-11)
Jan 31, 2022 · Advisor changed firm · fact
Fhn Financial Main Street Advisors, Llc reported RAUM $11.1B, up 34% from $8.3B (2018-11-20 to 2019-03-20)
Mar 20, 2019 · RAUM change · derived
Fhn Financial Main Street Advisors, Llc reported RAUM $8.3B, down 75% from $33.4B (2018-01-09 to 2018-03-20)
Mar 20, 2018 · RAUM change · derived
Main Street Capital Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Feb 28, 2012 · Succession (Item 4) · fact

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