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
C••••••• W••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 6, 2012 · 13 filings
SEC status approved since May 2, 2022
RAUM
$273M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
70%
$191M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$273M as of Mar 26, 2026
Mar 6, 2012$55.4M then
HNW client RAUM$183M as of Mar 26, 2026
Mar 27, 2023$118M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 6, 20120 then
Employees (5.A)3 as of Mar 26, 2026
Mar 27, 20233 then
Private funds: no history
RAUM n/a over the last fiscal year+30% a year over three
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M67%
- Insurance companies$48.5M18%
- Corporations and businesses$31.7M12%
- Individuals$8.5M3.1%
- Banks and thrifts$1.8M0.6%
- Individual clients
- 53reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 225reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• T••••••• K•••• I•• | Memphis, Tn | Aug 14, 2012 | 42 y | 3 |
| W••••• P•••• B••••• | Memphis, Tn | Dec 3, 2020 | 12 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W••••• P•••• B••••• from S••••••• F•••••••• G••••• L••Dec 3, 2020 · Other
- D••••• T••••••• K•••• I•• from M••••• K••••• • C••••••• L••Nov 9, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• I••• D•••••• T••••••• · Managing Principal/Membercontrolsince 08/2005 · owns 75% or more
- W•••••••• S•••• D• · Chief Compliance Officercontrolsince 03/2008 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 198 to 225Aug 1, 2025 to Mar 26, 2026
- Corporate clients · 3 to 7Aug 1, 2025 to Mar 26, 2026
- HNW clients · 39 to 41Aug 1, 2025 to Mar 26, 2026
- Individual clients · 49 to 53Aug 1, 2025 to Mar 26, 2026
- Discretionary RAUM · $208M to $243MAug 1, 2025 to Mar 26, 2026
- HNW RAUM · $170M to $183MAug 1, 2025 to Mar 26, 2026
- Individual RAUM · $7.5M to $8.5MAug 1, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $0 to $30.3MAug 1, 2025 to Mar 26, 2026
- RAUM · $208M to $273MAug 1, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0May 1, 2025 to Aug 1, 2025
- Accounts · 186 to 198Mar 19, 2024 to May 1, 2025
- Advisory activities · 3 to 4Mar 19, 2024 to May 1, 2025
- HNW clients · 37 to 39Mar 19, 2024 to May 1, 2025
- Discretionary RAUM · $145M to $208MMar 19, 2024 to May 1, 2025
- HNW RAUM · $125M to $170MMar 19, 2024 to May 1, 2025
- Individual RAUM · $5.6M to $7.5MMar 19, 2024 to May 1, 2025
- RAUM · $145M to $208MMar 19, 2024 to May 1, 2025
- Accounts · 194 to 186Mar 27, 2023 to Mar 19, 2024
- Corporate clients · 1 to 3Mar 27, 2023 to Mar 19, 2024
- HNW clients · 30 to 37Mar 27, 2023 to Mar 19, 2024
- Individual clients · 42 to 49Mar 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $125M to $145MMar 27, 2023 to Mar 19, 2024
- HNW RAUM · $118M to $125MMar 27, 2023 to Mar 19, 2024
- Individual RAUM · $3.2M to $5.6MMar 27, 2023 to Mar 19, 2024
- RAUM · $125M to $145MMar 27, 2023 to Mar 19, 2024
- Accounts · 174 to 194Sep 21, 2022 to Mar 27, 2023
- Advisory activities · 4 to 3Sep 21, 2022 to Mar 27, 2023
- HNW clients · 34 to 30Sep 21, 2022 to Mar 27, 2023
- Individual clients · 30 to 42Sep 21, 2022 to Mar 27, 2023
- Commission compensation · true to falseSep 21, 2022 to Mar 27, 2023
- Discretionary RAUM · $118M to $125MSep 21, 2022 to Mar 27, 2023
- HNW RAUM · $109M to $118MSep 21, 2022 to Mar 27, 2023
- Individual RAUM · $3.2M to $3.2MSep 21, 2022 to Mar 27, 2023
- RAUM · $118M to $125MSep 21, 2022 to Mar 27, 2023
- Accounts · 140 to 174Jul 19, 2012 to Mar 22, 2022
- Advisory employees · unset to 2.0Jul 19, 2012 to Mar 22, 2022
- Advisory activities · 3 to 4Jul 19, 2012 to Mar 22, 2022
- Corporate clients · unset to 1.0Jul 19, 2012 to Mar 22, 2022
- HNW clients · unset to 34.0Jul 19, 2012 to Mar 22, 2022
- Individual clients · unset to 30.0Jul 19, 2012 to Mar 22, 2022
Signals
1 dated events
- C••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 901-767-4401reportedpublic record, Form ADV, Mar 26, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026