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

Southern Wealth Management Llp

Former SEC-registered adviserDallas, TexasCRD 134714SEC 801-64071IAPD

Latest filing Aug 2, 2023

First filing on the tape Jan 12, 2012 · 39 filings

RAUM

$2.3B

reported, Item 5.F

Discretionary

78%

of RAUM

Private clients

99%

$2.3B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

15 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

39 filings and snapshots on the tape

RAUM$2.3B as of Mar 22, 2023

Mar 29, 2012$1.6B then

HNW client RAUM$2.3B as of Mar 22, 2023

Mar 30, 2018$2.2B then

State-registered IARs (5.B.3)24 as of Mar 22, 2023

Mar 29, 20120 then

Employees (5.A)50 as of Mar 22, 2023

Mar 28, 201331 then

Private funds: no history

RAUM -19% over the last fiscal year-9.2% a year over threeIARs 21 to 24

Practice profile

derived from the filing of Aug 2, 2023; every figure names its basis

RAUM per advisor: $97.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 10derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $9.2MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 78%derivedof RAUM
Institutional: 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.1derivedItem 5.A over advisors
Advisors per office: 6.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year: -19%derivedbetween the last two annual amendments
Advisor growth, one year: +14%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.6%derived
Compensation: percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $2.3B, 275 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is an insurance broker or agent (6.A.6)
buys or sells securities as principal to or from clients (8.A.2)
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)
a related person has custody of client cash (9.B.1.a)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$2.3B99%
Charitable organizations$20.1M0.9%
Corporations and businesses$13.1M0.6%

Individual clients: 0reported
HNW clients: 250reported
Pension plan clients: 0reported
Charitable clients: 17reported
Accounts: 2,061reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $2.3B for 275 clientsreported
Compensation: % of AUM, fixed, hourly, commissionsreported
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

Thomas Samuel Gile to Captrust
Oct 25, 2023 · Other
Matthew Quinton Huggins to Captrust
Oct 25, 2023 · Other
Denise Renee Rothermel to Captrust
Oct 25, 2023 · Other
Brandon Heath Kershaw to Captrust
Oct 25, 2023 · Other
Shane Darren Price to Captrust
Oct 25, 2023 · Other
Kelly Marie Hendrick Pattillo to Captrust
Oct 25, 2023 · Other
Katherine M. Gibert to Captrust
Oct 25, 2023 · Other
Stephanie Marie Bishop Smith to Captrust
Oct 25, 2023 · Other
Anthony Joseph Harvot to Captrust
Oct 25, 2023 · Other
Jeremy Thomas Head to Captrust
Oct 25, 2023 · Other
Michael Alan Horlick to Captrust
Oct 25, 2023 · Other
Gery Joseph Sadzewicz to Encompass Wealth Management LLC
Oct 25, 2023 · RIA to a state-registered adviser
Taylor Joseph Billings to Captrust
Oct 25, 2023 · Other
Tara Minnich Fuselier to Captrust
Oct 25, 2023 · Other
Philip Mark Debruyn to Captrust
Oct 25, 2023 · Other

Joined, latest

Philip Mark Debruyn from M Holdings Securities, Inc.
Nov 21, 2019 · Affiliated broker-dealer or bank to independent RIA
Laura Elizabeth English from M Holdings Securities, Inc.
Oct 5, 2018 · Affiliated broker-dealer or bank to independent RIA
Brandon Heath Kershaw from Tolleson Private Wealth Management
Nov 9, 2017 · Other
Michael Alan Horlick from Four Corners Wealth Management LLC
Jan 25, 2012 · Other
Gery Joseph Sadzewicz from Cornerstone Financial Planning, Inc.
Mar 9, 2010 · Other
Thomas Samuel Gile from Ernst & Young Investment Advisers Llp
Apr 15, 2005 · Other
Matthew Quinton Huggins from Ernst & Young Investment Advisers Llp
Apr 15, 2005 · Other
Denise Renee Rothermel from Ernst & Young Investment Advisers Llp
Apr 15, 2005 · Other
Shane Darren Price from Ernst & Young Investment Advisers Llp
Apr 15, 2005 · Other
Laura Marie Sweeney from Ernst & Young Investment Advisers Llp
Apr 15, 2005 · Other

Every departure Every arrival

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

2 left for Captrust
Oct 25, 2023 · New Orleans, La
16 left for Captrust
Oct 25, 2023 · Dallas, Tx · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M. Katherine Gibert · Partnercontrol
since 01/2008 · owns less than 5%
Samuel Thomas Gile · Partnercontrol
since 02/2005 · owns 10% to 25%
Thomas Jeremy Head · Partnercontrol
since 01/2012 · owns less than 5%
William Richard Jones · Partnercontrol
since 02/2005 · owns 25% to 50%
Lane Michael Olson · Partnercontrol
since 02/2005 · owns 10% to 25%
Mark Philip Debruyn · Partner
since 01/2018 · owns 10% to 25%
Thomas Daniel Drake · Partner
since 01/2022 · owns less than 5%
Marie Kelly Hendrick Pattillo · Partner
since 01/2022 · owns less than 5%
Alan Michael Horlick · Partner
since 12/2017 · owns less than 5%
Heath Brandon Kershaw · Partner
since 01/2022 · owns less than 5%
Darren Shane Price · Partner
since 01/2022 · owns less than 5%
P Nimisha Rana · Partner
since 01/2022 · owns less than 5%
Joseph Gery Sadzewicz · Chief Compliance Officer
since 01/2010 · owns less than 5%

Related persons

Schedule D 7.A

Captrust
investment advisernRAUM $1237B
Captrust Financial Advisors
broker-dealernRAUM $116B
Southern Wealth Securities, LLC
broker-dealery

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Dallas, Tx · principal	0	0	0
New Orleans, La	0	0	0
Plainfield, Il	0	0	0
San Antonio, Tx	0	0	0

Offices

Schedule D 1.F, the 25 largest

San Antonio, TX7 employees
New Orleans, LA1 employees
Midland, TX

What changed

consecutive filings, newest first

Related adviser · false to true
Mar 31, 2023 to Aug 2, 2023
Accounts · 1,517 to 2,061
Jan 23, 2023 to Mar 22, 2023
Advisory employees · 30 to 15
Jan 23, 2023 to Mar 22, 2023
Advisory activities · 6 to 3
Jan 23, 2023 to Mar 22, 2023
BD registered reps · 7 to 6
Jan 23, 2023 to Mar 22, 2023
Charity clients · 14 to 17
Jan 23, 2023 to Mar 22, 2023
HNW clients · 239 to 250
Jan 23, 2023 to Mar 22, 2023
Assets in custody · $2.9B to $2.3B
Jan 23, 2023 to Mar 22, 2023
Insurance-licensed employees · 0 to 24
Jan 23, 2023 to Mar 22, 2023
State-registered IARs · 21 to 24
Jan 23, 2023 to Mar 22, 2023
Discretionary RAUM · $2.2B to $1.8B
Jan 23, 2023 to Mar 22, 2023
HNW RAUM · $2.8B to $2.3B
Jan 23, 2023 to Mar 22, 2023
Non-discretionary RAUM · $719M to $521M
Jan 23, 2023 to Mar 22, 2023
RAUM · $2.9B to $2.3B
Jan 23, 2023 to Mar 22, 2023
Accounts · 1,488 to 1,517
Nov 5, 2021 to Mar 15, 2022
BD registered reps · 9 to 7
Nov 5, 2021 to Mar 15, 2022
Charity clients · 10 to 14
Nov 5, 2021 to Mar 15, 2022
HNW clients · 214 to 239
Nov 5, 2021 to Mar 15, 2022
Assets in custody · $3.3B to $2.9B
Nov 5, 2021 to Mar 15, 2022
Employees · 59 to 50
Nov 5, 2021 to Mar 15, 2022
State-registered IARs · 30 to 21
Nov 5, 2021 to Mar 15, 2022
Other offices · 2 to 3
Nov 5, 2021 to Mar 15, 2022
Discretionary RAUM · $2.7B to $2.2B
Nov 5, 2021 to Mar 15, 2022
HNW RAUM · $3.4B to $2.8B
Nov 5, 2021 to Mar 15, 2022
Non-discretionary RAUM · $694M to $719M
Nov 5, 2021 to Mar 15, 2022
RAUM · $3.4B to $2.9B
Nov 5, 2021 to Mar 15, 2022
Accounts · 1,268 to 1,488
Feb 2, 2021 to Mar 31, 2021
BD registered reps · 8 to 9
Feb 2, 2021 to Mar 31, 2021
Charity clients · 9 to 10
Feb 2, 2021 to Mar 31, 2021
Corporate clients · 4 to 8
Feb 2, 2021 to Mar 31, 2021
HNW clients · 196 to 214
Feb 2, 2021 to Mar 31, 2021
Assets in custody · $2.8B to $3.3B
Feb 2, 2021 to Mar 31, 2021
Employees · 52 to 59
Feb 2, 2021 to Mar 31, 2021
Discretionary RAUM · $2.4B to $2.7B
Feb 2, 2021 to Mar 31, 2021
HNW RAUM · $3.0B to $3.4B
Feb 2, 2021 to Mar 31, 2021
Non-discretionary RAUM · $681M to $694M
Feb 2, 2021 to Mar 31, 2021
RAUM · $3.1B to $3.4B
Feb 2, 2021 to Mar 31, 2021
Accounts · 73 to 1,268
Mar 28, 2019 to Mar 28, 2020
Advisory employees · 26 to 30
Mar 28, 2019 to Mar 28, 2020
BD registered reps · 6 to 8
Mar 28, 2019 to Mar 28, 2020

Signals

24 dated events

Taylor Joseph Billings left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Thomas Samuel Gile left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Emily Sue Copeland left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Oct 25, 2023 · Advisor changed firm · fact
Jessica Ashley Bourne Mayo left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Brandon Heath Kershaw left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Matthew Quinton Huggins left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Jeremy Thomas Head left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Denise Renee Rothermel left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Oct 25, 2023 · Advisor changed firm · fact
Michael Alan Horlick left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Oct 25, 2023 · Advisor changed firm · fact
Gery Joseph Sadzewicz left Southern Wealth Management Llp for Encompass Wealth Management Llc (registered 2010-03-18)
Oct 25, 2023 · Advisor changed firm · fact
Ryan Randall Griffin left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Oct 25, 2023 · Advisor changed firm · fact
Kelly Marie Hendrick Pattillo left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Oct 25, 2023 · Advisor changed firm · fact
Katherine M. Gibert left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Stephanie Marie Bishop Smith left Southern Wealth Management Llp for Captrust (registered 2023-06-28)
Oct 25, 2023 · Advisor changed firm · fact
Philip Mark Debruyn left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Oct 25, 2023 · Advisor changed firm · fact
Daniel Thomas Drake left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Oct 25, 2023 · Advisor changed firm · fact
Tara Minnich Fuselier left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
Shane Darren Price left Southern Wealth Management Llp for Captrust (registered 2023-06-29)
Oct 25, 2023 · Advisor changed firm · fact
Anthony Joseph Harvot left Southern Wealth Management Llp for Captrust (registered 2023-06-23)
Oct 25, 2023 · Advisor changed firm · fact
2 advisors left Southern Wealth Management LLP (New Orleans, LA) for Captrust on the same day
Oct 25, 2023 · Team lift-out · derived
Southern Wealth Management LLP's advisors moved to Captrust (Dallas, TX): 16 of 19 registered, on the same day
Oct 25, 2023 · Firm absorbed (people side) · derived
Marie Laura Sweeney (Partner) no longer on Schedule A of Southern Wealth Management Llp (listed 2021-06-21, absent 2021-07-06)
Jul 6, 2021 · Control person left · inference
Southern Wealth Management Llp reported RAUM $3.1B, up 27% from $2.5B (2019-03-28 to 2020-03-28)
Mar 28, 2020 · RAUM change · derived
Southern Wealth Management Llp reported 26 state-registered advisory representatives, up from 11 (2018-09-13 to 2019-03-28)
Mar 28, 2019 · Advisor headcount change · derived

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