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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Former SEC-registered adviser

H•••• W••••• A•••••••• L••

Former SEC-registered adviserRidgeland, MississippiCRD 151067SEC 801-79957IAPD
Latest filing Mar 26, 2019
First filing on the tape Jun 16, 2014 · 13 filings
RAUM
$252M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$245M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$252M as of Mar 26, 2019
Mar 23, 2015$165M then
HNW client RAUM$227M as of Mar 26, 2019
Mar 24, 2018$181M then
State-registered IARs (5.B.3)6 as of Mar 26, 2019
Mar 23, 20155 then
Employees (5.A)7 as of Mar 26, 2019
Mar 23, 20155 then
Private funds: no history
RAUM +7.4% over the last fiscal year+17% a year over threeIARs 6 to 6offices 1 to 2
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
$42.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$433,548derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+7.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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$227M90%
  • Individuals$18.8M7.5%
  • Pension and profit-sharing plans$3.6M1.4%
  • Charitable organizations$1.8M0.7%
  • Corporations and businesses$1.0M0.4%
Individual clients
105reported
HNW clients
133reported
Pension plan clients
1reported
Charitable clients
3reported
Accounts
581reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • H•••••• J••• D• · Managing Membercontrol
      since 01/2012 · owns less than 5%
    • P•••••• S•••• P• · Partner & Chief Compliance Officercontrol
      since 07/2009 · owns less than 5%
    Entity owners
    • H•••• L•• · Sole Owner / Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • H•••• L••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    • Jackson, TN1 employees
    • Nashville, TN1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 517 to 581
      Jan 14, 2019 to Mar 26, 2019
    • Charity clients · 1 to 3
      Jan 14, 2019 to Mar 26, 2019
    • Corporate clients · 2 to 1
      Jan 14, 2019 to Mar 26, 2019
    • HNW clients · 123 to 133
      Jan 14, 2019 to Mar 26, 2019
    • Individual clients · 94 to 105
      Jan 14, 2019 to Mar 26, 2019
    • Employees · 6 to 7
      Jan 14, 2019 to Mar 26, 2019
    • Discretionary RAUM · $234M to $252M
      Jan 14, 2019 to Mar 26, 2019
    • HNW RAUM · $181M to $227M
      Jan 14, 2019 to Mar 26, 2019
    • Individual RAUM · $17.0M to $18.8M
      Jan 14, 2019 to Mar 26, 2019
    • Pension RAUM · $2.4M to $3.6M
      Jan 14, 2019 to Mar 26, 2019
    • RAUM · $234M to $252M
      Jan 14, 2019 to Mar 26, 2019
    • Other offices · 1 to 2
      Mar 24, 2018 to Jan 14, 2019
    • Accounts · 439 to 517
      Mar 23, 2017 to Mar 24, 2018
    • Charity clients · unset to 1.0
      Mar 23, 2017 to Mar 24, 2018
    • Corporate clients · unset to 2.0
      Mar 23, 2017 to Mar 24, 2018
    • HNW clients · unset to 123.0
      Mar 23, 2017 to Mar 24, 2018
    • Individual clients · unset to 94.0
      Mar 23, 2017 to Mar 24, 2018
    • Pension plan clients · unset to 1.0
      Mar 23, 2017 to Mar 24, 2018
    • Employees · 7 to 6
      Mar 23, 2017 to Mar 24, 2018
    • Other offices · unset to 1.0
      Mar 23, 2017 to Mar 24, 2018
    • Discretionary RAUM · $196M to $234M
      Mar 23, 2017 to Mar 24, 2018
    • HNW RAUM · unset to 181400713.0
      Mar 23, 2017 to Mar 24, 2018
    • Individual RAUM · unset to 17004169.0
      Mar 23, 2017 to Mar 24, 2018
    • Pension RAUM · unset to 2390012.0
      Mar 23, 2017 to Mar 24, 2018
    • RAUM · $196M to $234M
      Mar 23, 2017 to Mar 24, 2018
    • Accounts · 378 to 439
      Mar 4, 2016 to Mar 21, 2017
    • Advisory employees · 5 to 6
      Mar 4, 2016 to Mar 21, 2017
    • Employees · 5 to 7
      Mar 4, 2016 to Mar 21, 2017
    • State-registered IARs · 5 to 6
      Mar 4, 2016 to Mar 21, 2017
    • Discretionary RAUM · $159M to $196M
      Mar 4, 2016 to Mar 21, 2017
    • RAUM · $159M to $196M
      Mar 4, 2016 to Mar 21, 2017
    • Accounts · 337 to 378
      Jun 23, 2015 to Mar 4, 2016
    • Discretionary RAUM · $165M to $159M
      Jun 23, 2015 to Mar 4, 2016
    • RAUM · $165M to $159M
      Jun 23, 2015 to Mar 4, 2016
    • Accounts · 307 to 337
      Aug 14, 2014 to Mar 23, 2015
    • Advisory employees · 3 to 5
      Aug 14, 2014 to Mar 23, 2015
    • Employees · 4 to 5
      Aug 14, 2014 to Mar 23, 2015
    • State-registered IARs · 3 to 5
      Aug 14, 2014 to Mar 23, 2015
    • Discretionary RAUM · $155M to $165M
      Aug 14, 2014 to Mar 23, 2015
    • RAUM · $155M to $165M
      Aug 14, 2014 to Mar 23, 2015
    Signals
    1 dated events
    • H•••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Jun 16, 2014 · 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.
    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