DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• A•••• M••••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Dec 1, 2011 · 29 filings
SEC status approved since Sep 23, 2010
RAUM
$749M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.7%
$50.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$749M
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$749M as of Jul 29, 2026
Mar 21, 2012$2.1B then
HNW client RAUM$32.3M as of Jul 29, 2026
Mar 29, 2018$322M then
State-registered IARs (5.B.3)1 as of Jul 29, 2026
Apr 1, 20134 then
Employees (5.A)15 as of Jul 29, 2026
Apr 1, 201325 then
Private funds1 as of Mar 26, 2020
Mar 21, 20121 then
RAUM -10% over the last fiscal year-5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $749MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $8.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 15.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$393M52%
- Pension and profit-sharing plans$161M21%
- Charitable organizations$108M14%
- High-net-worth individuals$32.3M4.3%
- Pooled investment vehicles$30.4M4.1%
- Individuals$17.8M2.4%
- Corporations and businesses$6.9M0.9%
- Individual clients
- 54reported
- HNW clients
- 13reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 88reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $30.2M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.07 fund_share=0.56 institutional_share=0.36 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S•••• C•••• | Memphis, Tn | Jan 14, 2011 | 18 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
- R•••••• J••• K•••• to R•••••• J•••• • A••••••••• I•••Mar 17, 2020 · Other
- C•••• C••••••• S••••• to P••• A••••• S••••••••• L••Oct 11, 2012 · Other
Joined, latest
- C•••• C••••••• S••••• from S••••••••• A•••• M••••••••• I••Oct 4, 2010 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• U•••••••• F•••• L••no longer reported | Other Private Fund | $1.2M | 10 | Mar 21, 2012 |
| B••• F••• I• L••no longer reported | Other Private Fund | $913,325 | 10 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C•••• M••••••• W•••••• · Chairman/Principal/Mgmt Comm Mbrcontrolsince 01/2003 · owns 25% to 50%
- C•••• P••••••• W•••••• · Chief Investment Officer/Managing Partner/Principal/Mgmt Comm Mbrcontrolsince 01/2009 · owns 5% to 10%
- C••••• M••••••• S•••• · Portfolio Manager/Principalcontrolsince 01/2009 · owns 5% to 10%
- H•••••••• W••••••• P• · Chief Compliance Officer/Principal/Mgmt Comm Mbrcontrolsince 12/2006 · owns 10% to 25%
- W•••••• A•••••• M••••• · President/Principalcontrolsince 10/2023 · owns less than 5%
- C•••• M••••••• W•••••• · Membercontrolsince 12/2012 · owns 50% to 75% of O•••••••• P••••••• L••
- C•••• P••••••• W•••••• · Membercontrolsince 08/2020 · owns F of T•••••••• I••••••••• C•••••• L•••••• P•••••••••
- M••••••• A•••••• P••••• · Chief Financial Officersince 01/2020 · owns less than 5%
Entity owners
- T•••••••• I••••••••• C•••••• L•••••• P••••••••• · Memberdirect · owns 25% to 50%
- O•••••••• P••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 99 to 88Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 17 to 15Mar 26, 2025 to Mar 30, 2026
- HNW clients · 16 to 13Mar 26, 2025 to Mar 30, 2026
- Individual clients · 62 to 54Mar 26, 2025 to Mar 30, 2026
- Employees · 17 to 15Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $835M to $749MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $36.8M to $32.3MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $21.7M to $17.8MMar 26, 2025 to Mar 30, 2026
- Pension RAUM · $157M to $161MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $28.7M to $30.4MMar 26, 2025 to Mar 30, 2026
- RAUM · $835M to $749MMar 26, 2025 to Mar 30, 2026
- Wrap assets (manager) · $30.3M to $30.2MMar 26, 2025 to Mar 30, 2026
- Accounts · 97 to 99Mar 27, 2024 to Mar 26, 2025
- Advisory employees · 4 to 17Mar 27, 2024 to Mar 26, 2025
- Charity clients · 4 to 5Mar 27, 2024 to Mar 26, 2025
- Corporate clients · 6.0 to unsetMar 27, 2024 to Mar 26, 2025
- HNW clients · 17 to 16Mar 27, 2024 to Mar 26, 2025
- Individual clients · 59 to 62Mar 27, 2024 to Mar 26, 2025
- Pension plan clients · 4 to 5Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $906M to $835MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $39.1M to $36.8MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $19.6M to $21.7MMar 27, 2024 to Mar 26, 2025
- Pension RAUM · $134M to $157MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $28.2M to $28.7MMar 27, 2024 to Mar 26, 2025
- RAUM · $906M to $835MMar 27, 2024 to Mar 26, 2025
- Wrap assets (manager) · $31.3M to $30.3MMar 27, 2024 to Mar 26, 2025
- Accounts · 89 to 97Oct 26, 2023 to Mar 27, 2024
- Advisory employees · 5 to 4Oct 26, 2023 to Mar 27, 2024
- Charity clients · 5 to 4Oct 26, 2023 to Mar 27, 2024
- Corporate clients · 7 to 6Oct 26, 2023 to Mar 27, 2024
- HNW clients · 13 to 17Oct 26, 2023 to Mar 27, 2024
- Individual clients · 53 to 59Oct 26, 2023 to Mar 27, 2024
- Pension plan clients · 5 to 4Oct 26, 2023 to Mar 27, 2024
- Pooled vehicle clients · 2 to 3Oct 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $899M to $906MOct 26, 2023 to Mar 27, 2024
- HNW RAUM · $31.1M to $39.1MOct 26, 2023 to Mar 27, 2024
- Individual RAUM · $18.2M to $19.6MOct 26, 2023 to Mar 27, 2024
- Pension RAUM · $133M to $134MOct 26, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $22.3M to $28.2MOct 26, 2023 to Mar 27, 2024
Signals
6 dated events
- Morgan Angela Wimmer (President/Principal) appeared on Schedule A of S••••••••• A•••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- S••••••••• A•••• M••••••••• L•• reported RAUM $904.2M, down 28% from $1.3B (2020-09-03 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Michael John Roach (Chief Administrative Officer/Principal) no longer on Schedule A of S••••••••• A•••• M••••••••• L•• (listed 2020-09-03, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Michael John Roach (Chief Administrative Officer/Principal) appeared on Schedule A of S••••••••• A•••• M••••••••• L••Mar 26, 2020 · Control person joined · fact
- S••••••••• A•••• M••••••••• L•• reported RAUM $1.5B, down 37% from $2.4B (2018-11-12 to 2019-03-22)Mar 22, 2019 · RAUM change · derived
- S••••••••• A•••• M••••••••• L•• reported RAUM $2.4B, down 42% from $4.2B (2018-03-29 to 2018-11-12)Nov 12, 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
- S•••••••••AM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 901-341-2700reportedpublic record, Form ADV, Jul 29, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $749Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026