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
R••••• A••••••••• M••••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since May 12, 2008
RAUM
$54.5M
reported, Item 5.F
Discretionary
100%
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
11
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$54.5M as of Mar 31, 2026
Mar 30, 2012$154M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20131 then
Employees (5.A)11 as of Mar 31, 2026
Apr 1, 201317 then
Private funds: no history
RAUM +15% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $54.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Investment companies$54.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•• V••••••• J•••• F•••• · Portfolio Managercontrolsince 08/2007 · owns less than 5%
- L••••••••• B••••••• H••• · Portfolio Managercontrolsince 09/2010 · owns less than 5%
- M•••••••• W•••••• C••••••• · General Counsel & Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- T•••••••• I••• J•••••• W••••••• · Cfo/Coocontrolsince 10/2023 · owns less than 5%
- D•• V••••••• J•••• F•••• · Membercontrolsince 08/2007 · owns 50% to 75% of S••• D••••• B••••• L••
- L••••••••• B••••••• H••• · Membercontrolsince 09/2010 · owns 50% to 75% of S••• D••••• B••••• L••
- M•••••• G••• · Ownercontrolsince 02/1998 · owns 50% to 75% of F•••• U••••• B••• A•• T•••• C••••••
Entity owners
- R••••• A•••• M••••••••• C••••••• L•• · Limited Partnerdirect · owns 25% to 50%
- R••••• G• S•••••••• L•• · General Partnerdirect · owns less than 5%
- S••• D••••• B••••• L•• · Revenue Interestdirect · owns 75% or more
- F•••• U••••• B••• A•• T•••• C•••••• · Memberindirect · owns F of R••••• A•••• M••••••••• C••••••• L••
- R••••• A•••• M••••••••• C••••••• L•• · Memberindirect · owns 75% or more of R••••• G• S•••••••• L••
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $47.5M to $54.5MMar 31, 2025 to Mar 31, 2026
- RAUM · $47.5M to $54.5MMar 31, 2025 to Mar 31, 2026
- Employees · 10 to 11Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $69.1M to $47.5MMar 28, 2024 to Mar 31, 2025
- RAUM · $69.1M to $47.5MMar 28, 2024 to Mar 31, 2025
- Related bank · false to trueMar 28, 2024 to Mar 31, 2025
- Employees · 9 to 10Nov 14, 2023 to Mar 28, 2024
- Discretionary RAUM · $102M to $69.1MNov 14, 2023 to Mar 28, 2024
- RAUM · $102M to $69.1MNov 14, 2023 to Mar 28, 2024
- Discretionary RAUM · $164M to $102MMar 31, 2023 to Nov 14, 2023
- RAUM · $164M to $102MMar 31, 2023 to Nov 14, 2023
- Employees · 14 to 9Jan 6, 2023 to Mar 31, 2023
- Discretionary RAUM · $74.3M to $164MJan 6, 2023 to Mar 31, 2023
- RAUM · $74.3M to $164MJan 6, 2023 to Mar 31, 2023
- Related bank · true to falseJan 6, 2023 to Mar 31, 2023
- Discretionary RAUM · $59.7M to $74.3MMar 23, 2021 to Mar 31, 2022
- RAUM · $59.7M to $74.3MMar 23, 2021 to Mar 31, 2022
- Employees · 18 to 14Apr 2, 2020 to Mar 23, 2021
- Insurance-licensed employees · 1 to 0Apr 2, 2020 to Mar 23, 2021
- State-registered IARs · 1 to 0Apr 2, 2020 to Mar 23, 2021
- Other offices · 0 to 2Apr 2, 2020 to Mar 23, 2021
- Discretionary RAUM · $111M to $59.7MApr 2, 2020 to Mar 23, 2021
- RAUM · $111M to $59.7MApr 2, 2020 to Mar 23, 2021
- Related bank · false to trueApr 2, 2020 to Mar 23, 2021
- Other offices · 1 to 0Jul 31, 2019 to Apr 2, 2020
- Discretionary RAUM · $141M to $111MJul 31, 2019 to Apr 2, 2020
- RAUM · $141M to $111MJul 31, 2019 to Apr 2, 2020
- Employees · 19 to 18Aug 2, 2018 to Mar 27, 2019
- Discretionary RAUM · $151M to $141MAug 2, 2018 to Mar 27, 2019
- RAUM · $151M to $141MAug 2, 2018 to Mar 27, 2019
- Discretionary RAUM · $9.1M to $151MMar 31, 2018 to Aug 2, 2018
- RAUM · $9.1M to $151MMar 31, 2018 to Aug 2, 2018
- Employees · 16 to 19Mar 31, 2017 to Mar 31, 2018
- Other offices · unset to 1.0Mar 31, 2017 to Mar 31, 2018
- Discretionary RAUM · $166M to $9.1MMar 31, 2017 to Mar 31, 2018
- RAUM · $166M to $9.1MMar 31, 2017 to Mar 31, 2018
- BD registered reps · 2 to 0Apr 29, 2016 to Mar 31, 2017
- Employees · 15 to 16Apr 29, 2016 to Mar 31, 2017
- State-registered IARs · 3 to 1Apr 29, 2016 to Mar 31, 2017
Signals
13 dated events
- David Wayne Tice no longer registered at R••••• A••••••••• M••••••••• L•••; no later IA registration on IAPDDec 31, 2024 · Advisor departure · fact
- Scott Kenneth Canon (Limited Partner) no longer on Schedule A of R••••• A••••••••• M••••••••• L••• (listed 2023-03-31, absent 2023-11-14)Nov 14, 2023 · Control person left · inference
- Scott Peter Carlsen (Cfo/Coo) no longer on Schedule A of R••••• A••••••••• M••••••••• L••• (listed 2023-03-31, absent 2023-11-14)Nov 14, 2023 · Control person left · inference
- Whitaker Joseph Iii Thompson (Cfo/Coo) appeared on Schedule A of R••••• A••••••••• M••••••••• L•••Nov 14, 2023 · Control person joined · fact
- Greg Massey (Owner) appeared on Schedule A of R••••• A••••••••• M••••••••• L•••Nov 14, 2023 · Control person joined · fact
- Christopher Jason Elliott (Limited Partner) no longer on Schedule A of R••••• A••••••••• M••••••••• L••• (listed 2022-03-31, absent 2023-01-06)Jan 6, 2023 · Control person left · inference
- Whitaker Joseph Iii Thompson (Coo/Cfo) no longer on Schedule A of R••••• A••••••••• M••••••••• L••• (listed 2021-03-23, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- James Nimrod Hacker (General Counsel) no longer on Schedule A of R••••• A••••••••• M••••••••• L••• (listed 2021-03-23, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Scott Peter Carlsen (Cfo/Coo) appeared on Schedule A of R••••• A••••••••• M••••••••• L•••Mar 31, 2022 · Control person joined · fact
- C••••••• W••••• Mcdowell (Chief Compliance Officer) appeared on Schedule A of R••••• A••••••••• M••••••••• L•••Mar 23, 2021 · Control person joined · fact
- M••• H•••••• (Chief Compliance Officer) no longer on Schedule A of R••••• A••••••••• M••••••••• L••• (listed 2020-04-02, absent 2021-03-23)Mar 23, 2021 · Control person left · inference
- M••• H•••••• (Chief Compliance Officer) appeared on Schedule A of R••••• A••••••••• M••••••••• L•••Mar 27, 2019 · Control person joined · fact
- R••••• A••••••••• M••••••••• L••• reported RAUM $9.1M, down 95% from $165.6M (2017-03-31 to 2018-03-31)Mar 31, 2018 · RAUM 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-871-5200reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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