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

T•••••••• L••

Former SEC-registered adviserMemphis, TennesseeCRD 135391SEC 801-64284IAPD
Latest filing Jun 21, 2022
First filing on the tape Mar 27, 2012 · 25 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.1B as of Mar 22, 2022
Mar 27, 2012$414M then
HNW client RAUM$991M as of Mar 22, 2022
Mar 28, 2018$745M then
State-registered IARs (5.B.3)14 as of Mar 22, 2022
Mar 18, 20137 then
Employees (5.A)23 as of Mar 22, 2022
Mar 18, 201310 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Jun 21, 2022; every figure names its basis
RAUM per advisor
$79.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.2%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Custody
$1.1B, 655 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)
  • 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
  • High-net-worth individuals$991M89%
  • Individuals$117M10%
  • Pension and profit-sharing plans$7.8M0.7%
  • Corporations and businesses$1.8M0.2%
  • Charitable organizations$4700.0%
Individual clients
393reported
HNW clients
258reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
657reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
$1.1B for 655 clientsreported
Compensation
% of AUMreported
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
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
    • B•••••• J••••• H• · Vp - Client Reportingcontrol
      since 06/2022 · owns less than 5%
    • D••••••• R•••••• G•••• · Direct Ownercontrol
      since 01/2018 · owns 5% to 10%
    • G•••• E•••••• M••••• · Chief Investment Officer, Direct Ownercontrol
      since 06/2021 · owns less than 5%
    • P•••••••• J•••• C•••••• · Chief Manager, Trustee, Direct Ownercontrol
      since 04/2005 · owns 10% to 25%
    • P•••••••• R••••••• C•••• · Chief Compliance Officer, President, Direct Ownercontrol
      since 01/2018 · owns 10% to 25%
    • S••••• M••••••• A••••• · Secretary, Direct Ownercontrol
      since 04/2005 · owns 10% to 25%
    • M••••••• A••••• · General Partnercontrol
      since 10/2005 · owns F of J••• I••••••••• P••••••••• L•••
    • P•••••••• J•••• C•••••• · Co-Trusteecontrol
      since 03/2011 · owns 50% to 75% of J•• 2••• T••••
    • A••••••••• A••• D•••• · Direct Owner
      since 01/2018 · owns less than 5%
    • C••••••• J••••• M•••••• · Direct Owner
      since 01/2022 · owns less than 5%
    • K••••• O•••• A•••••••• · Direct Owner
      since 01/2018 · owns 5% to 10%
    • K••••• A•••••• J••••• · Direct Owner
      since 01/2018 · owns less than 5%
    • S••••• M••••••• C•••••• · Direct Owner
      since 01/2022 · owns less than 5%
    • S••••••••• K••••• C•••••• · Direct Owner
      since 01/2018 · owns 5% to 10%
    • W•••••• B•••••• L•••• · Direct Owner
      since 01/2019 · owns less than 5%
    • M••••••• J••••• E••••• · General Partner
      since 10/2005 · owns F of J••• Investment P•••••••••, LP
    • M••••••• J••••• E••••• · Co-Trustee
      since 03/2011 · owns 50% to 75% of J•• 2••• T••••
    • M••••••• J•• J••••• E••••• · General Partner
      since 10/2005 · owns F of J••• Investment P•••••••••, LP
    • M••••••• S•••••• C•••••••• · General Partner
      since 10/2005 · owns F of J••• I••••••••• P••••••••• L•••
    Entity owners
    • J•• 2••• T•••• · Trust, Direct Owner
      direct · owns 5% to 10%
    • J••• I••••••••• P••••••••• L••• · Member
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 12 to 11
      Mar 22, 2022 to Jun 1, 2022
    • Employees · 23 to 21
      Mar 22, 2022 to Jun 1, 2022
    • Accounts · 631 to 657
      Jul 14, 2021 to Mar 22, 2022
    • Advisory activities · 2 to 4
      Jul 14, 2021 to Mar 22, 2022
    • HNW clients · 241 to 258
      Jul 14, 2021 to Mar 22, 2022
    • Individual clients · 384 to 393
      Jul 14, 2021 to Mar 22, 2022
    • Assets in custody · $965M to $1.1B
      Jul 14, 2021 to Mar 22, 2022
    • Employees · 22 to 23
      Jul 14, 2021 to Mar 22, 2022
    • Discretionary RAUM · $978M to $1.1B
      Jul 14, 2021 to Mar 22, 2022
    • HNW RAUM · $858M to $991M
      Jul 14, 2021 to Mar 22, 2022
    • Individual RAUM · $112M to $117M
      Jul 14, 2021 to Mar 22, 2022
    • Pension RAUM · $6.3M to $7.8M
      Jul 14, 2021 to Mar 22, 2022
    • RAUM · $978M to $1.1B
      Jul 14, 2021 to Mar 22, 2022
    • Accounts · 602 to 631
      Jul 23, 2020 to Mar 24, 2021
    • Advisory employees · 10 to 12
      Jul 23, 2020 to Mar 24, 2021
    • HNW clients · 226 to 241
      Jul 23, 2020 to Mar 24, 2021
    • Individual clients · 370 to 384
      Jul 23, 2020 to Mar 24, 2021
    • Assets in custody · $901M to $965M
      Jul 23, 2020 to Mar 24, 2021
    • Employees · 20 to 22
      Jul 23, 2020 to Mar 24, 2021
    • State-registered IARs · 13 to 14
      Jul 23, 2020 to Mar 24, 2021
    • Discretionary RAUM · $913M to $978M
      Jul 23, 2020 to Mar 24, 2021
    • HNW RAUM · $787M to $858M
      Jul 23, 2020 to Mar 24, 2021
    • Individual RAUM · $120M to $112M
      Jul 23, 2020 to Mar 24, 2021
    • Pension RAUM · $5.5M to $6.3M
      Jul 23, 2020 to Mar 24, 2021
    • RAUM · $913M to $978M
      Jul 23, 2020 to Mar 24, 2021
    • Accounts · 593 to 602
      Mar 27, 2019 to Mar 27, 2020
    • HNW clients · 215 to 226
      Mar 27, 2019 to Mar 27, 2020
    • Individual clients · 372 to 370
      Mar 27, 2019 to Mar 27, 2020
    • Assets in custody · $793M to $901M
      Mar 27, 2019 to Mar 27, 2020
    • Discretionary RAUM · $808M to $913M
      Mar 27, 2019 to Mar 27, 2020
    • HNW RAUM · $684M to $787M
      Mar 27, 2019 to Mar 27, 2020
    • Individual RAUM · $119M to $120M
      Mar 27, 2019 to Mar 27, 2020
    • Pension RAUM · $4.3M to $5.5M
      Mar 27, 2019 to Mar 27, 2020
    • RAUM · $808M to $913M
      Mar 27, 2019 to Mar 27, 2020
    • Related insurance company · true to false
      Mar 27, 2019 to Mar 27, 2020
    • Accounts · 606 to 593
      Mar 28, 2018 to Mar 26, 2019
    • Advisory employees · 9 to 10
      Mar 28, 2018 to Mar 26, 2019
    • HNW clients · 244 to 215
      Mar 28, 2018 to Mar 26, 2019
    • Individual clients · 376 to 372
      Mar 28, 2018 to Mar 26, 2019
    • Assets in custody · $856M to $793M
      Mar 28, 2018 to Mar 26, 2019
    Signals
    15 dated events
    • O••• A•••••••• K•••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-03-02)
      Mar 9, 2023 · Advisor changed firm · fact
    • M•••••• C•••••• S•••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-03-07)
      Mar 9, 2023 · Advisor changed firm · fact
    • J•••• H• B••••• left T•••••••• L•• for C••••••• P••••••• (registered 2026-01-21)
      Mar 9, 2023 · Advisor changed firm · fact
    • B••••• L•••• W••••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-03-02)
      Mar 9, 2023 · Advisor changed firm · fact
    • A••••• J••••• K•••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-03-02)
      Mar 9, 2023 · Advisor changed firm · fact
    • S•••• S••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-03-07)
      Mar 9, 2023 · Advisor changed firm · fact
    • M•••••• A••••• S•••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-03-07)
      Mar 9, 2023 · Advisor changed firm · fact
    • E••••• M••••• G••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-05-09)
      Mar 9, 2023 · Advisor changed firm · fact
    • R••••• G•••• D•••••• left T•••••••• L•• for C••••••• P••••••• (registered 2023-03-07)
      Mar 9, 2023 · Advisor changed firm · fact
    • T•••••••• L••'s advisors moved to C••••••• P••••••• (Memphis, TN): 9 of 9 registered, on the same day
      Mar 9, 2023 · Firm absorbed (people side) · derived
    • H. J•••• B••••• (Vp - Client Reporting) appeared on Schedule A of T•••••••• L••
      Jun 1, 2022 · Control person joined · fact
    • Lu Melinda Gunn (Direct Owner) no longer on Schedule A of T•••••••• L•• (listed 2022-03-22, absent 2022-06-01)
      Jun 1, 2022 · Control person left · inference
    • Alvin Warren Coleman (Chief Investment Officer) no longer on Schedule A of T•••••••• L•• (listed 2021-03-24, absent 2021-06-03)
      Jun 3, 2021 · Control person left · inference
    • Marcus Eugene Gard (Chief Investment Officer) appeared on Schedule A of T•••••••• L••
      Jun 3, 2021 · Control person joined · fact
    • Leann Brandy Wagner (Direct Owner) appeared on Schedule A of T•••••••• L••
      Mar 26, 2019 · Control person joined · 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