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••••••• F•••••••• S•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Dec 15, 2016 · 24 filings
SEC status approved since Jan 3, 2017
RAUM
$1.0B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.0B
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.0B as of Mar 25, 2026
Mar 12, 2018$287M then
HNW client RAUM$0 as of Mar 25, 2026
Mar 12, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 12, 20181 then
Employees (5.A)2 as of Mar 25, 2026
Mar 12, 20183 then
Private funds: no history
RAUM +5.4% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- $1.0BderivedRAUM 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
- $30.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $959M, 29 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
- 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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 33reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $959M for 29 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 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 |
|---|---|---|---|---|
| M•••••• E••••• N•• | Memphis, Tn | Jan 1, 2026 | 20 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• C••••• D•••••• · Member & Chief Compliance Officercontrolsince 07/2016 · owns 25% to 50%
- L•••••• K••••••• B•••• · Managing Membercontrolsince 07/2016 · owns 25% to 50%
- N••• M••••••• E••••• · Membercontrolsince 07/2016 · owns 25% to 50%
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 · 29 to 33Jan 2, 2026 to Mar 25, 2026
- Advisory employees · 3 to 2Jan 2, 2026 to Mar 25, 2026
- Employees · 3 to 2Jan 2, 2026 to Mar 25, 2026
- Discretionary RAUM · $869M to $914MJan 2, 2026 to Mar 25, 2026
- Non-discretionary RAUM · $90.1M to $97.3MJan 2, 2026 to Mar 25, 2026
- RAUM · $959M to $1.0BJan 2, 2026 to Mar 25, 2026
- Financial planning clients · unset to Feb 25, 2025 to Apr 17, 2025
- Accounts · 26 to 29Feb 23, 2024 to Feb 25, 2025
- Corporate clients · unset to 0.0Feb 23, 2024 to Feb 25, 2025
- Assets in custody · $584M to $959MFeb 23, 2024 to Feb 25, 2025
- Discretionary RAUM · $562M to $869MFeb 23, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $83.2M to $90.1MFeb 23, 2024 to Feb 25, 2025
- RAUM · $645M to $959MFeb 23, 2024 to Feb 25, 2025
- Accounts · 24 to 26Mar 29, 2023 to Feb 23, 2024
- Discretionary RAUM · $498M to $562MMar 29, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $88.5M to $83.2MMar 29, 2023 to Feb 23, 2024
- RAUM · $586M to $645MMar 29, 2023 to Feb 23, 2024
- Accounts · 25 to 24Mar 15, 2022 to Mar 29, 2023
- Assets in custody · $437M to $584MMar 15, 2022 to Mar 29, 2023
- Discretionary RAUM · $485M to $498MMar 15, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $83.7M to $88.5MMar 15, 2022 to Mar 29, 2023
- RAUM · $569M to $586MMar 15, 2022 to Mar 29, 2023
- Accounts · 24 to 25Mar 10, 2021 to Mar 15, 2022
- Discretionary RAUM · $359M to $485MMar 10, 2021 to Mar 15, 2022
- Non-discretionary RAUM · $77.8M to $83.7MMar 10, 2021 to Mar 15, 2022
- RAUM · $437M to $569MMar 10, 2021 to Mar 15, 2022
- Accounts · 27 to 24Dec 10, 2020 to Mar 10, 2021
- Corporate clients · 1.0 to unsetDec 10, 2020 to Mar 10, 2021
- Assets in custody · $365M to $437MDec 10, 2020 to Mar 10, 2021
- Discretionary RAUM · $284M to $359MDec 10, 2020 to Mar 10, 2021
- Non-discretionary RAUM · $82.1M to $77.8MDec 10, 2020 to Mar 10, 2021
- RAUM · $367M to $437MDec 10, 2020 to Mar 10, 2021
- Accounts · 26 to 27May 1, 2019 to Mar 18, 2020
- Advisory employees · 2 to 3May 1, 2019 to Mar 18, 2020
- Assets in custody · $368M to $365MMay 1, 2019 to Mar 18, 2020
- Discretionary RAUM · $288M to $284MMay 1, 2019 to Mar 18, 2020
- Non-discretionary RAUM · $79.2M to $82.1MMay 1, 2019 to Mar 18, 2020
- RAUM · $368M to $367MMay 1, 2019 to Mar 18, 2020
- Accounts · 28 to 26Apr 24, 2018 to Mar 20, 2019
- Corporate clients · 0 to 1Apr 24, 2018 to Mar 20, 2019
Signals
3 dated events
- I••••••• F•••••••• S•••••••• L•• reported RAUM $958.9M, up 49% from $645.4M (2024-02-23 to 2025-02-25)Feb 25, 2025 · RAUM change · derived
- I••••••• F•••••••• S•••••••• L•• reported RAUM $569.0M, up 30% from $436.8M (2021-03-10 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- I••••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Dec 15, 2016 · First SEC registration · fact
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•••••••F••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (901) 260-1444reportedpublic record, Form ADV, Mar 25, 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
- $1.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026