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

First Tennessee Advisory Services, Inc.

Former SEC-registered adviserMemphis, TennesseeCRD 143830SEC 801-68049IAPD
Legal name Ftb Advisors, Inc.
Latest filing Jun 17, 2013
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$3.4B
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
167
149 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.4B as of Mar 28, 2013
Mar 30, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 149
Employees (5.A): 167
Private funds: no history
RAUM +18% over the last fiscal year
Practice profile
derived from the filing of Jun 17, 2013; every figure names its basis
RAUM per advisor
$22.9MderivedRAUM 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
$916,316derivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
149.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 9.A
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
  • is a broker-dealer (6.A.1)
  • 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,728reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, 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
    • C Rhomes Aur · Ceocontrol
      since 04/2007 · owns less than 5%
    • Mims Ottis Clayton · Svp, Coocontrol
      since 06/2013 · owns less than 5%
    • Morton Karen Kruse · President, Advisory Servicescontrol
      since 06/2013 · owns less than 5%
    • William Gerald Laurain · Chief Investment Officercontrol
      since 04/2007 · owns less than 5%
    • Howard Paul Mann · Chief Compliance Officer, President Brokerage Servicescontrol
      since 06/2013 · owns less than 5%
    • T. David Popwell · Directorcontrol
      since 06/2013 · owns less than 5%
    Entity owners
    • First Tennessee Bank National Association · Sole Shareholder
      direct · owns 75% or more
    • First Horizon National Coporation · Sole Shareholder
      indirect · owns 75% or more of First Tennessee Bank National Association · public reporting company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Legal name · FIRST TENNESSEE ADVISORY SERVICES, INC. to FTB ADVISORS, INC.
      Jun 6, 2013 to Jun 17, 2013
    • Succession · true to false
      Jun 6, 2013 to Jun 17, 2013
    • Succession · false to true
      Jun 3, 2013 to Jun 6, 2013
    • Accounts · 2,932 to 3,728
      Feb 13, 2013 to Mar 28, 2013
    • Advisory employees · 94 to 149
      Feb 13, 2013 to Mar 28, 2013
    • BD registered reps · 95 to 149
      Feb 13, 2013 to Mar 28, 2013
    • Employees · 99 to 167
      Feb 13, 2013 to Mar 28, 2013
    • State-registered IARs · 93 to 149
      Feb 13, 2013 to Mar 28, 2013
    • Discretionary RAUM · $2.5B to $3.0B
      Feb 13, 2013 to Mar 28, 2013
    • Non-discretionary RAUM · $358M to $448M
      Feb 13, 2013 to Mar 28, 2013
    • RAUM · $2.9B to $3.4B
      Feb 13, 2013 to Mar 28, 2013
    • Advisory employees · unset to 94.0
      Oct 16, 2012 to Feb 5, 2013
    • BD registered reps · unset to 95.0
      Oct 16, 2012 to Feb 5, 2013
    • Employees · unset to 99.0
      Oct 16, 2012 to Feb 5, 2013
    • State-registered IARs · unset to 93.0
      Oct 16, 2012 to Feb 5, 2013
    Signals
    4 dated events
    • 5 advisors left First Horizon Advisors, Inc (Memphis, TN) for First Tennessee Advisory Services, Inc. within 3 days
      Sep 29, 2025 · Team lift-out · derived
    • 49 advisors left First Horizon Advisors, Inc (Memphis, TN) for First Tennessee Advisory Services, Inc. a day apart
      Aug 21, 2025 · Team lift-out · derived
    • 3 advisors left First Horizon Advisors, Inc (Memphis, TN) for First Tennessee Advisory Services, Inc. a day apart
      Aug 11, 2022 · Team lift-out · derived
    • First Tennessee Advisory Services, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jun 6, 2013 · 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