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
I••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 27, 2025 · 2 filings
SEC status approved since Jul 25, 2025
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$150M as of Mar 31, 2026
Jun 27, 2025$123M then
HNW client RAUM$139M as of Mar 31, 2026
Jun 27, 2025$89.6M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Jun 27, 20254 then
Employees (5.A)4 as of Mar 31, 2026
Jun 27, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 423derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $558,293derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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$139M92%
- Individuals$11.3M7.5%
- Individual clients
- 342reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 269reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| P••• T•••••• S••••••• | Madisonville, La | Feb 25, 2011 | 34 y | 4 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months3 left in 90 days0 joined in 90 daysdeparture rate 300% of current headcount3 left over 36 months
Left, latest
- B•••••• T••• B•••••••• to T••••••• W••••• G••••• L••Jul 14, 2026 · RIA to a newly registered adviser
- M••• R• M••••• to T••••••• W••••• G••••• L••Jul 14, 2026 · RIA to a newly registered adviser
- E••• M••••• W••••••• to T••••••• W••••• G••••• L••Jul 14, 2026 · RIA to a newly registered adviser
Joined, latest
- E••• M••••• W••••••• from H•••••• W•••••• I••••••••• S••••••• I•••Mar 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••• R• M••••• from O•••• I••••••••• I•••Jun 7, 2019 · Affiliated broker-dealer or bank to independent RIA
- P••• T•••••• S••••••• from J••• M••••• S••••••••• L••Feb 25, 2011 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for T••••••• W••••• G••••• L••Jul 14, 2026 · Hattiesburg, Ms
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• P•••• T•••••• · Managing Member/Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
Entity owners
- I••• C•••••• G••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Madisonville, La | 1 | 0 | 2 | 1 | |
| Pascagoula, Ms | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 390 to 269Jun 27, 2025 to Mar 31, 2026
- HNW clients · 116 to 81Jun 27, 2025 to Mar 31, 2026
- Individual clients · 274 to 342Jun 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $113M to $150MJun 27, 2025 to Mar 31, 2026
- HNW RAUM · $89.6M to $139MJun 27, 2025 to Mar 31, 2026
- Individual RAUM · $33.8M to $11.3MJun 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $10.4M to $160,000Jun 27, 2025 to Mar 31, 2026
- RAUM · $123M to $150MJun 27, 2025 to Mar 31, 2026
Signals
4 dated events
- E••• M••••• W••••••• left I••• A•••••••• L•• for T••••••• W••••• G••••• L•• (registered 2026-06-17)Jul 14, 2026 · Advisor changed firm · fact
- M••• R• M••••• left I••• A•••••••• L•• for T••••••• W••••• G••••• L•• (registered 2026-06-17)Jul 14, 2026 · Advisor changed firm · fact
- B•••••• T••• B•••••••• left I••• A•••••••• L•• for T••••••• W••••• G••••• L•• (registered 2026-06-17)Jul 14, 2026 · Advisor changed firm · fact
- 2 advisors left I••• A•••••••• L•• (Hattiesburg, MS) for T••••••• W••••• G••••• L•• on the same dayJul 14, 2026 · Team lift-out · 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
- i•••.h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 985-373-3504reportedpublic record, Form ADV, Mar 31, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026