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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

W••• R•••• C•••••• M••••••••• L••

Former SEC-registered adviserMemphis, TennesseeCRD 166925SEC 801-77919IAPD
Latest filing Mar 30, 2020
First filing on the tape Apr 1, 2013 · 9 filings
RAUM
$199M
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
8
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$199M gross assets
History
9 filings and snapshots on the tape
RAUM$199M as of Mar 30, 2020
Mar 24, 2014$38.0M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 24, 20140 then
Employees (5.A)8 as of Mar 30, 2020
Mar 24, 20148 then
Private funds3 as of Mar 30, 2020
Mar 24, 20141 then
RAUM +6.4% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$66.5MderivedRAUM 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
+6.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$199M, 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)
  • 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
  • Pooled investment vehicles$199M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$199M for 3 clientsreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• G•••• C••• · Chief Financial Officer / Chief Compliance Officercontrol
        since 01/2013 · owns 10% to 25%
      • D•••••• D••••••• B•••• · Member/Managing Directorcontrol
        since 01/2013 · owns 10% to 25%
      • G•••••• J••••• H•••• · Senior Vice Presidentcontrol
        since 01/2013 · owns 5% to 10%
      • H•••• R••••••• D•••• · Member/Managing Directorcontrol
        since 01/2013 · owns 10% to 25%
      • L••• B•••• G••• · Vice Presidentcontrol
        since 01/2013 · owns 5% to 10%
      • R•••••••• W••••••• R••••• · Vice Presidentcontrol
        since 01/2013 · owns 5% to 10%
      • W••••••• J••••• D••••• · Member/Managing Directorcontrol
        since 01/2013 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Southaven, MS8 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Mar 28, 2019 to Mar 30, 2020
      • Charity clients · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Corporate clients · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • HNW clients · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Individual clients · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Pension plan clients · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 3
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $188M to $199M
        Mar 28, 2019 to Mar 30, 2020
      • Private funds · 2 to 3
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $188M to $199M
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Individual RAUM · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Pension RAUM · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $188M to $199M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $188M to $199M
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $154M to $188M
        Mar 29, 2018 to Mar 28, 2019
      • Insurance-licensed employees · 7 to 0
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $154M to $188M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $154M to $188M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $154M to $188M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $101M to $154M
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $101M to $154M
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 154465182.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $101M to $154M
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $90.6M to $101M
        Mar 11, 2016 to Mar 30, 2017
      • Financial planning clients · 0 to unset
        Mar 11, 2016 to Mar 30, 2017
      • Discretionary RAUM · $90.6M to $101M
        Mar 11, 2016 to Mar 30, 2017
      • RAUM · $90.6M to $101M
        Mar 11, 2016 to Mar 30, 2017
      • Accounts · 1 to 2
        Apr 17, 2015 to Mar 11, 2016
      • Assets in custody · $77.2M to $90.6M
        Apr 17, 2015 to Mar 11, 2016
      • Financial planning clients · 1-10 to 0
        Apr 17, 2015 to Mar 11, 2016
      • Private funds · 1 to 2
        Apr 17, 2015 to Mar 11, 2016
      • Discretionary RAUM · $77.2M to $90.6M
        Apr 17, 2015 to Mar 11, 2016
      • RAUM · $77.2M to $90.6M
        Apr 17, 2015 to Mar 11, 2016
      • Assets in custody · $38.0M to $77.2M
        Mar 24, 2014 to Apr 17, 2015
      • Discretionary RAUM · $38.0M to $77.2M
        Mar 24, 2014 to Apr 17, 2015
      • RAUM · $38.0M to $77.2M
        Mar 24, 2014 to Apr 17, 2015
      • Assets in custody · $23.0M to $38.0M
        May 16, 2013 to Mar 24, 2014
      Signals
      1 dated events
      • W••• R•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 1, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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