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

S••••••• C••••• S•••••••• L••

Former SEC-registered adviserOxford, MississippiCRD 154737SEC 801-72182IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$18.8M
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
15
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$18.8M as of Mar 31, 2017
Mar 30, 2012$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)15 as of Mar 31, 2017
Apr 1, 201314 then
Private funds15 as of Mar 25, 2014
Apr 1, 201317 then
RAUM -80% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$2.1MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-80%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 assets, performance-based, commissions, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$18.8M, 9 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$18.8M for 9 clientsreported
Compensation
% of AUM, performance, commissionsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      18 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• D••• P••••••••• P••• 1•••• L••no longer reportedOther Private Fund$19.2M95Apr 1, 2013
      A••••••• D••• P••••••••• 0•••• L••no longer reportedOther Private Fund$17.7M94Mar 25, 2014
      A••••••• D••• P••••••••• 0•••• L••no longer reportedOther Private Fund$13.2M75Apr 1, 2013
      A••••••• D••• P••••••••• P••• 0•••• L••no longer reportedOther Private Fund$11.5M79Apr 1, 2013
      A••••••• D••• P••••••••• 0•••• L••no longer reportedOther Private Fund$11.2M88Apr 1, 2013
      A••••••• D••• P••••••••• P••• 0•••• L••no longer reportedOther Private Fund$10.7M67Apr 1, 2013
      A••••••• D••• P••••••••• P••• 0•••• L••no longer reportedOther Private Fund$8.8M61Apr 1, 2013
      A••••••• D••• P••••••••• P••••••• P••• 0•••• L••no longer reportedOther Private Fund$7.6M12Apr 1, 2013
      A••••••• D••• P••••••••• P••••••• P••• 0•••• L••no longer reportedOther Private Fund$6.6M4Apr 1, 2013
      A••••••• D••• P••••••••• P••••••• P••• 0•••• L••no longer reportedOther Private Fund$6.3M7Apr 1, 2013
      A••••••• D••• P••••••••• P••• 0•••• L••no longer reportedOther Private Fund$4.5M32Apr 1, 2013
      A••••••• D••• P••••••••• P••••••• P••• I• 0•••• L••no longer reportedOther Private Fund$3.8M12Apr 1, 2013
      A••••••• D••• P••••••••• R••••••••• P••• 0•••• L••no longer reportedOther Private Fund$2.7M31Apr 1, 2013
      M•••••• T• L•••• D••• P••• 0•••• L••no longer reportedOther Private Fund$2.5M1Apr 1, 2013
      A••••••• D••• P••••••••• R••••••••• P••• 0•••• L••no longer reportedOther Private Fund$2.2M20Apr 1, 2013
      W•••• P••••••••• P••• 1•••• L••no longer reportedOther Private Fund$2.0M1Apr 1, 2013
      A••••••• D••• P••••••••• R••••••••• P••• 1•••• L••no longer reportedOther Private Fund$1.4M11Apr 1, 2013
      A••••••• D••• P••••••••• R••••••••• P••• 0•••• L••no longer reportedOther Private Fund$1.4M13Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• W••••••• A•••••• · President Of S••••••• H•••••••• L••control
        since 08/2003 · owns less than 5%
      • D••••• R••••••• L•• · Chief Financial Officercontrol
        since 04/2012 · owns less than 5%
      • D••••••••• K••••••• M•••• · Presidentcontrol
        since 08/2005 · owns less than 5%
      • V••••••• R•••••• H••••• · Vice President Of Sales And Marketingcontrol
        since 11/2003 · owns less than 5%
      • A••••• W••••••• A•••••• · Membercontrol
        since 06/2003 · owns 25% to 50% of S••••••• H•••••••• L••
      • A••••• W••••••• A•••••• · Membercontrol
        since 06/2003 · owns 25% to 50% of S••••••• H•••••••• L••
      • S••••••••• B•••• · Chief Compliance Officer
        since 12/2012 · owns less than 5%
      Entity owners
      • S••••••• H•••••••• L•• · Member And Elected Manager
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • R•••••• L•• D••••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      • Atlanta, GA
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 9
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $96.2M to $18.8M
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $96.2M to $18.8M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $96.2M to $18.8M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 13 to 11
        Mar 26, 2015 to Mar 30, 2016
      • Assets in custody · $107M to $96.2M
        Mar 26, 2015 to Mar 30, 2016
      • Discretionary RAUM · $107M to $96.2M
        Mar 26, 2015 to Mar 30, 2016
      • RAUM · $107M to $96.2M
        Mar 26, 2015 to Mar 30, 2016
      • Accounts · 15 to 13
        Mar 25, 2014 to Mar 26, 2015
      • Assets in custody · $117M to $107M
        Mar 25, 2014 to Mar 26, 2015
      • Employees · 18 to 15
        Mar 25, 2014 to Mar 26, 2015
      • Private funds · 15 to unset
        Mar 25, 2014 to Mar 26, 2015
      • Discretionary RAUM · $116M to $107M
        Mar 25, 2014 to Mar 26, 2015
      • RAUM · $116M to $107M
        Mar 25, 2014 to Mar 26, 2015
      • Accounts · 18 to 15
        Jul 1, 2013 to Mar 25, 2014
      • Advisory employees · 6 to 5
        Jul 1, 2013 to Mar 25, 2014
      • BD registered reps · 0 to 1
        Jul 1, 2013 to Mar 25, 2014
      • Assets in custody · $117M to $117M
        Jul 1, 2013 to Mar 25, 2014
      • Employees · 14 to 18
        Jul 1, 2013 to Mar 25, 2014
      • Insurance-licensed employees · 0 to 1
        Jul 1, 2013 to Mar 25, 2014
      • Private funds · 17 to 15
        Jul 1, 2013 to Mar 25, 2014
      • Discretionary RAUM · $117M to $116M
        Jul 1, 2013 to Mar 25, 2014
      • RAUM · $117M to $116M
        Jul 1, 2013 to Mar 25, 2014
      • Accounts · 15 to 18
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 6.0
        Mar 30, 2012 to Apr 1, 2013
      • Assets in custody · $145M to $117M
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        Mar 30, 2012 to Apr 1, 2013
      • Private funds · unset to 17
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $112M to $117M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $112M to $117M
        Mar 30, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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