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.

Former SEC-registered adviser

Taylor Securities, Inc.

Former SEC-registered adviserBrentwood, TennesseeCRD 17575SEC 801-44465websiteIAPD
Latest filing Jan 2, 2025
First filing on the tape Nov 11, 2011 · 28 filings
SEC status approved since Jul 30, 1993
RAUM
$284M
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
70%
$199M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$284M as of Jan 2, 2025
Nov 11, 2011$125M then
HNW client RAUM$181M as of Jan 2, 2025
Jan 2, 2018$122M then
State-registered IARs (5.B.3)4 as of Jan 2, 2025
Nov 11, 20110 then
Employees (5.A)6 as of Jan 2, 2025
Nov 18, 20139 then
Private funds: no history
RAUM +8.5% over the last fiscal year-0.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 2, 2025; every figure names its basis
RAUM per advisor
$71.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$829,965derivedRAUM over accounts (5.F.2.f)
Discretionary
49%derivedof RAUM
Institutional
30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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 a broker-dealer (6.A.1)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$181M64%
  • Pension and profit-sharing plans$84.5M30%
  • Individuals$18.0M6.3%
  • Charitable organizations$21,4590.0%
Individual clients
42reported
HNW clients
72reported
Pension plan clients
17reported
Charitable clients
1reported
Accounts
342reported
Financial planning clients
0reported
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
    • David Alan Lankford · Vice President, General Securities Principalcontrol
      since 04/2014 · owns less than 5%
    • Martha Stubblefield Mason · Presidentcontrol
      since 06/2016 · owns 10% to 25%
    • George Wood Moody · Municipal Securities Principal, General Securities Principal, Chief Compliance Officer, Fin-Op, Sec- Treasurer, Cfocontrol
      since 09/2012 · owns less than 5%
    • William Graham III Taylor · General Securities Representativecontrol
      since 06/2016 · owns 50% to 75%
    • William Lyons Zelenik · General Securities Representativecontrol
      since 08/2017 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • Qualified Retirement Solutions
      LP sponsorn
    • Taylor Financial Corporation
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Brentwood, Tn · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 344 to 342
      Dec 22, 2023 to Jan 2, 2025
    • BD registered reps · 7 to 6
      Dec 22, 2023 to Jan 2, 2025
    • HNW clients · 59 to 72
      Dec 22, 2023 to Jan 2, 2025
    • Individual clients · 52 to 42
      Dec 22, 2023 to Jan 2, 2025
    • Pension plan clients · 21 to 17
      Dec 22, 2023 to Jan 2, 2025
    • Employees · 7 to 6
      Dec 22, 2023 to Jan 2, 2025
    • Discretionary RAUM · $114M to $139M
      Dec 22, 2023 to Jan 2, 2025
    • HNW RAUM · $163M to $181M
      Dec 22, 2023 to Jan 2, 2025
    • Individual RAUM · $24.4M to $18.0M
      Dec 22, 2023 to Jan 2, 2025
    • Non-discretionary RAUM · $147M to $145M
      Dec 22, 2023 to Jan 2, 2025
    • Pension RAUM · $74.0M to $84.5M
      Dec 22, 2023 to Jan 2, 2025
    • RAUM · $261M to $284M
      Dec 22, 2023 to Jan 2, 2025
    • Accounts · 358 to 344
      Jan 3, 2023 to Dec 22, 2023
    • BD registered reps · 8 to 7
      Jan 3, 2023 to Dec 22, 2023
    • HNW clients · 65 to 59
      Jan 3, 2023 to Dec 22, 2023
    • Individual clients · 48 to 52
      Jan 3, 2023 to Dec 22, 2023
    • Pension plan clients · 26 to 21
      Jan 3, 2023 to Dec 22, 2023
    • Employees · 8 to 7
      Jan 3, 2023 to Dec 22, 2023
    • Discretionary RAUM · $104M to $114M
      Jan 3, 2023 to Dec 22, 2023
    • HNW RAUM · $150M to $163M
      Jan 3, 2023 to Dec 22, 2023
    • Individual RAUM · $19.4M to $24.4M
      Jan 3, 2023 to Dec 22, 2023
    • Non-discretionary RAUM · $140M to $147M
      Jan 3, 2023 to Dec 22, 2023
    • Pension RAUM · $74.8M to $74.0M
      Jan 3, 2023 to Dec 22, 2023
    • RAUM · $244M to $261M
      Jan 3, 2023 to Dec 22, 2023
    • Accounts · 336 to 358
      Dec 26, 2021 to Jan 3, 2023
    • Advisory employees · 5 to 4
      Dec 26, 2021 to Jan 3, 2023
    • HNW clients · 63 to 65
      Dec 26, 2021 to Jan 3, 2023
    • Individual clients · 31 to 48
      Dec 26, 2021 to Jan 3, 2023
    • Pension plan clients · 22 to 26
      Dec 26, 2021 to Jan 3, 2023
    • Discretionary RAUM · $116M to $104M
      Dec 26, 2021 to Jan 3, 2023
    • HNW RAUM · $163M to $150M
      Dec 26, 2021 to Jan 3, 2023
    • Individual RAUM · $13.6M to $19.4M
      Dec 26, 2021 to Jan 3, 2023
    • Non-discretionary RAUM · $171M to $140M
      Dec 26, 2021 to Jan 3, 2023
    • Pension RAUM · $110M to $74.8M
      Dec 26, 2021 to Jan 3, 2023
    • RAUM · $287M to $244M
      Dec 26, 2021 to Jan 3, 2023
    • Accounts · 296 to 336
      Dec 26, 2020 to Dec 26, 2021
    • Advisory employees · 4 to 5
      Dec 26, 2020 to Dec 26, 2021
    • Individual clients · 28 to 31
      Dec 26, 2020 to Dec 26, 2021
    • Pension plan clients · 24 to 22
      Dec 26, 2020 to Dec 26, 2021
    • Commission compensation · true to false
      Dec 26, 2020 to Dec 26, 2021
    Signals
    7 dated events
    • Taylor Securities, Inc. no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $283.8M)
      Jun 2, 2025 · Left the SEC roster · derived
    • Martha Stubblefield Mason left Taylor Securities, Inc. for Raymond James Financial Services Advisors, Inc (registered 2025-05-05)
      Apr 30, 2025 · Advisor changed firm · fact
    • David Alan Lankford left Taylor Securities, Inc. for Raymond James Financial Services Advisors, Inc (registered 2025-05-01)
      Apr 30, 2025 · Advisor changed firm · fact
    • George Wood Moody left Taylor Securities, Inc. for Raymond James Financial Services Advisors, Inc (registered 2025-05-05)
      Apr 30, 2025 · Advisor changed firm · fact
    • Taylor Securities, Inc.'s advisors moved to Raymond James Financial Services Advisors, Inc (Brentwood, TN): 3 of 3 registered, on the same day
      Apr 30, 2025 · Firm absorbed (people side) · derived
    • Katelyn Deere Dunstan left Taylor Securities, Inc. for Vestia Personal Wealth Advisors (registered 2024-06-12)
      Jun 3, 2024 · Advisor changed firm · fact
    • William Lyons Zelenik (General Securities Representative) appeared on Schedule A of Taylor Securities, Inc.
      Dec 26, 2019 · Control person joined · 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