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•••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Jun 24, 2009
RAUM
$2.3B
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
38%
$887M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$777M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$2.3B as of Mar 25, 2026
Mar 28, 2012$579M then
HNW client RAUM$880M as of Mar 25, 2026
Mar 28, 2018$1.7B then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Mar 25, 2026
Mar 26, 20133 then
Private funds1 as of Sep 19, 2025
Mar 30, 20201 then
RAUM -14% over the last fiscal year+8.8% a year over threeIARs 2 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- $777MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.3MderivedHNW RAUM over HNW clients
- Average account
- $9.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $6.7M, 3 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
- Corporations and businesses$1.4B62%
- High-net-worth individuals$880M38%
- Individuals$6.9M0.3%
- Individual clients
- 18reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 251reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.7M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.38 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••••••• M•••••••Chartered Financial Analyst | Memphis, Tn | Apr 24, 2023 | 36 y | 1 |
| A••••• D•••• H•••••Chartered Financial Analyst | Memphis, Tn | Apr 1, 2025 | 10 y | 0 |
| T••••• M••••••• M••••••• | Memphis, Tn | Feb 10, 2026 | 10 y | 0 |
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
- J••••• M•••••••• M••••••• from M••••• K••••• • C••••••• L••Apr 24, 2023 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• I••••••••• L••no longer reported | Private Equity Fund | $1.8M | 25 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J•••••• M•••••••• · Chief Compliance Officer/Managing Membercontrolsince 05/2009 · owns 75% or more
Entity owners
- J•• P•••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- 1••• P•••••••investment adviserpooled vehicle sponsornRAUM $207M
Advisers that list S•••••• L•• as a related person
- 326601 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 25, 2026RAUM per registered advisor of $776,548,905 against a peer median of $147,054,737 (1222 comparable advisers, 98.0th percentile, 6.4 robust deviations)peers: independent wealth managers, $1B to $5B (1,222) · 98% percentile
- business activity changedChange between filings · filing Mar 25, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-09-19, no on the filing of 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
- business activity changedChange between filings · filing Mar 25, 2026advises private funds (Item 7.B): yes on the filing of 2025-09-19, no on the filing of 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
- compensation changedChange between filings · filing Mar 25, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-09-19, no on the filing of 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 278 to 251Sep 19, 2025 to Mar 25, 2026
- Advisory employees · 2 to 3Sep 19, 2025 to Mar 25, 2026
- Advisory activities · 4 to 3Sep 19, 2025 to Mar 25, 2026
- HNW clients · 53 to 51Sep 19, 2025 to Mar 25, 2026
- Individual clients · 12 to 18Sep 19, 2025 to Mar 25, 2026
- Pension plan clients · 1.0 to unsetSep 19, 2025 to Mar 25, 2026
- Pooled vehicle clients · 1.0 to unsetSep 19, 2025 to Mar 25, 2026
- Assets in custody · $7.7M to $6.7MSep 19, 2025 to Mar 25, 2026
- Employees · 3 to 4Sep 19, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 3Sep 19, 2025 to Mar 25, 2026
- Other offices · 0 to 1Sep 19, 2025 to Mar 25, 2026
- Private funds · 1 to unsetSep 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.1B to $600MSep 19, 2025 to Mar 25, 2026
- HNW RAUM · $1.3B to $880MSep 19, 2025 to Mar 25, 2026
- Individual RAUM · $7.1M to $6.9MSep 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.6B to $1.7BSep 19, 2025 to Mar 25, 2026
- Pension RAUM · 4921468.0 to unsetSep 19, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · 1785550.0 to unsetSep 19, 2025 to Mar 25, 2026
- RAUM · $2.7B to $2.3BSep 19, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Apr 30, 2025 to Sep 19, 2025
- Accounts · 259 to 278Mar 26, 2024 to Apr 30, 2025
- HNW clients · 51 to 53Mar 26, 2024 to Apr 30, 2025
- Individual clients · 11 to 12Mar 26, 2024 to Apr 30, 2025
- Pension plan clients · unset to 1.0Mar 26, 2024 to Apr 30, 2025
- Assets in custody · $7.3M to $7.7MMar 26, 2024 to Apr 30, 2025
- Discretionary RAUM · $1.1B to $1.1BMar 26, 2024 to Apr 30, 2025
- HNW RAUM · $1.1B to $1.3BMar 26, 2024 to Apr 30, 2025
- Individual RAUM · $3.2M to $7.1MMar 26, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $1.3B to $1.6BMar 26, 2024 to Apr 30, 2025
- Pension RAUM · unset to 4921468.0Mar 26, 2024 to Apr 30, 2025
- RAUM · $2.4B to $2.7BMar 26, 2024 to Apr 30, 2025
- Accounts · 263 to 259Sep 7, 2023 to Mar 26, 2024
- Charity clients · 1.0 to unsetSep 7, 2023 to Mar 26, 2024
- Corporate clients · 6 to 5Sep 7, 2023 to Mar 26, 2024
- HNW clients · 56 to 51Sep 7, 2023 to Mar 26, 2024
- Individual clients · 15 to 11Sep 7, 2023 to Mar 26, 2024
- Assets in custody · $4.5M to $7.3MSep 7, 2023 to Mar 26, 2024
- Discretionary RAUM · $873M to $1.1BSep 7, 2023 to Mar 26, 2024
- HNW RAUM · $1.7B to $1.1BSep 7, 2023 to Mar 26, 2024
- Individual RAUM · $4.9M to $3.2MSep 7, 2023 to Mar 26, 2024
Signals
2 dated events
- S•••••• L•• reported RAUM $2.4B, up 31% from $1.8B (2023-09-07 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S•••••• L•• reported RAUM $2.4B, up 68% from $1.4B (2020-06-25 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 901-820-0515reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S•••••LLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 901-820-0515reportedpublic record, Form ADV, Mar 25, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $777Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026