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
S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Feb 26, 2009
RAUM
$703M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.1%
$36.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$703M as of Mar 30, 2026
Mar 30, 2016$140M then
HNW client RAUM$36.0M as of Mar 30, 2026
Mar 30, 2022$12.9M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)7 as of Mar 30, 2026
Mar 28, 20134 then
Private funds1 as of Mar 30, 2026
Mar 30, 20161 then
RAUM -6.5% over the last fiscal year-9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $36.0MderivedHNW RAUM over HNW clients
- Average account
- $176MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 91%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$640M92%
- High-net-worth individuals$36.0M5.2%
- Pooled investment vehicles$18.1M2.6%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.05 fund_share=0.03 institutional_share=0.91 related_bd=false related_bank=false 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
- A••••••• J•••••• A•••• · Secretary, Managing Director (Chief Executive), Legal And Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
- M••••••• S•••••• P••••• · Directorcontrolsince 08/2008 · owns less than 5%
- P••••••••• J••••••• B••••• · Cfocontrolsince 03/2019 · owns less than 5%
- H••••••• O•••• M•••• · Ceo/Shareholder/Directorcontrolsince 09/1975 · owns 50% to 75% of S••••••••• Asset Management, Inc.
Entity owners
- S••••••••• A•••• M••••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• A•••• M••••••••• I•••investment adviseryRAUM $3.7B
- S••••••••• A•••• M••••••••• I••••••••• ••• L•••investment advisern
Advisers that list S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Memphis, TN1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 4Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 5 to 4Mar 28, 2025 to Mar 30, 2026
- Charity clients · 1.0 to unsetMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $752M to $703MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $36.2M to $36.0MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $111M to $640MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $44.3M to $18.1MMar 28, 2025 to Mar 30, 2026
- RAUM · $752M to $703MMar 28, 2025 to Mar 30, 2026
- Accounts · 7 to 6Dec 18, 2024 to Mar 28, 2025
- Charity clients · 2 to 1Dec 18, 2024 to Mar 28, 2025
- Assets in custody · unset to 0.0Dec 18, 2024 to Mar 28, 2025
- Financial planning clients · unset to Dec 18, 2024 to Mar 28, 2025
- HQ state · unset to Dec 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $856M to $752MDec 18, 2024 to Mar 28, 2025
- HNW RAUM · $30.7M to $36.2MDec 18, 2024 to Mar 28, 2025
- Pension RAUM · $97.9M to $111MDec 18, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $58.3M to $44.3MDec 18, 2024 to Mar 28, 2025
- RAUM · $856M to $752MDec 18, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Nov 1, 2023 to Mar 27, 2024
- Employees · 5 to 7Nov 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $941M to $856MNov 1, 2023 to Mar 27, 2024
- HNW RAUM · $30.3M to $30.7MNov 1, 2023 to Mar 27, 2024
- Pension RAUM · $99.4M to $97.9MNov 1, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $66.4M to $58.3MNov 1, 2023 to Mar 27, 2024
- RAUM · $941M to $856MNov 1, 2023 to Mar 27, 2024
- Employees · 8 to 5Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.1B to $941MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $12.9M to $30.3MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $81.8M to $99.4MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $75.5M to $66.4MMar 30, 2022 to Mar 30, 2023
- RAUM · $1.1B to $941MMar 30, 2022 to Mar 30, 2023
- Accounts · 6 to 7Mar 31, 2021 to Mar 30, 2022
- HNW clients · unset to 1.0Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.2B to $1.1BMar 31, 2021 to Mar 30, 2022
- HNW RAUM · unset to 12896089.0Mar 31, 2021 to Mar 30, 2022
- Pension RAUM · $94.7M to $81.8MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $84.9M to $75.5MMar 31, 2021 to Mar 30, 2022
- RAUM · $1.2B to $1.1BMar 31, 2021 to Mar 30, 2022
- Accounts · 7 to 6Mar 27, 2020 to Mar 31, 2021
- Charity clients · 3 to 2Mar 27, 2020 to Mar 31, 2021
Signals
7 dated events
- Staley George Cates (Vice Chairman/Shareholder/Director) no longer on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L•• (listed 2024-11-13, absent 2024-12-18)Dec 18, 2024 · Control person left · inference
- S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L•• reported RAUM $1.2B, up 35% from $881.3M (2020-03-27 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L•• reported RAUM $881.3M, up 68% from $525.1M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Boggan Jessica Pressgrove (Cfo) appeared on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L••Mar 27, 2020 · Control person joined · fact
- George Steven Fracchia (Chief Financial Officer) no longer on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L•• (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Ichikawa Ken Siazon (Managing Director (Chief Executive Position)) no longer on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L•• (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- S••••••••• A•••• M••••••••• I••••••••• ••••••••• P••• L•• reported RAUM $525.1M, up 109% from $251.4M (2018-03-30 to 2019-03-29)Mar 29, 2019 · 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
- Firm profile
- linkedin.com/company/southeastern-asset-management/?originalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 65 6028 1876reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda 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