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
S•••••••• A••••••• S•••••••
Legal name S•••••••• A••••••• S•••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Jan 7, 2022 · 29 filings
SEC status approved since Mar 16, 2022
RAUM
$201M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$186M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$25.1M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$201M as of Aug 27, 2026
Mar 2, 2023$150M then
HNW client RAUM$111M as of Aug 27, 2026
Mar 2, 2023$87.9M then
State-registered IARs (5.B.3)8 as of Aug 27, 2026
Mar 2, 202310 then
Employees (5.A)10 as of Aug 27, 2026
Mar 2, 202310 then
Private funds: no history
RAUM -5.0% over the last fiscal year+10% a year over threeIARs 10 to 8offices 0 to 2
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $25.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $433,566derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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$111M55%
- Individuals$74.9M37%
- Charitable organizations$15.6M7.8%
- Individual clients
- 213reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 464reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $148M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• M•••• W••••• | Memphis, Tn | Apr 5, 2017 | 29 y | 2 |
| T••••• L•• C••••••••• | Memphis, Tn | Apr 27, 2017 | 43 y | 3 |
| S••••• R•••••• H•••••••• | Memphis, Tn | Nov 22, 2021 | 46 y | 1 |
| C•••••• R•••••• H••••• | Memphis, Tn | Jul 26, 2022 | 37 y | 4 |
| K••• B••••• M••••••• | Memphis, Tn | Jul 26, 2022 | 43 y | 4 |
| S•••• L•••• J•••••• | Memphis, Tn | Aug 3, 2022 | 27 y | 5 |
| J•••• B•••• J•••••• | Memphis, Tn | Jul 9, 2024 | 12 y | 0 |
| M•••••• L••••••• A••• | Memphis, Tn | Jan 1, 2025 | 27 y | 1 |
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 headcount1 left over 36 months
Left, latest
- L••• M•••• A••••• C•••••• to P•••••• A•••••• G••••• L••May 20, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• L••••••• A••• from R•••••• J•••• • A••••••••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- L••• M•••• A••••• C•••••• from R•••••• J•••• • A••••••••• I•••Oct 11, 2022 · Affiliated broker-dealer or bank to independent RIA
- S•••• L•••• J•••••• from W••••••••• A••••••• P••••••• L••Aug 3, 2022 · RIA to RIA
- K••• B••••• M••••••• from W••••••••• A••••••• P••••••• L••Jul 26, 2022 · RIA to RIA
- C•••••• R•••••• H••••• from W••••••••• A••••••• P••••••• L••Jul 26, 2022 · RIA to RIA
- S••••• R•••••• H•••••••• from U•• F•••••••• S••••••• I•••Nov 22, 2021 · Wirehouse to independent RIA
- T••••• L•• C••••••••• from D••••••••• I•••Apr 27, 2017 · Other
- J•••• M•••• W••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Apr 5, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••••• A••••••• P••••••• L••Aug 2, 2022 · West Chester, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• J••••• M•••• · President, Chief Compliance Officer, Managing Membercontrolsince 03/2017 · 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 |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 34.0% to 55.0% between the annual amendments of 2025-03-20 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 546 to 464May 20, 2025 to Mar 31, 2026
- Advisory employees · 10 to 8May 20, 2025 to Mar 31, 2026
- BD registered reps · 6 to 8May 20, 2025 to Mar 31, 2026
- HNW clients · 24 to 39May 20, 2025 to Mar 31, 2026
- Individual clients · 314 to 213May 20, 2025 to Mar 31, 2026
- Insurance-licensed employees · 4 to 0May 20, 2025 to Mar 31, 2026
- Financial planning clients · to 0May 20, 2025 to Mar 31, 2026
- State-registered IARs · 10 to 8May 20, 2025 to Mar 31, 2026
- Other offices · 0 to 2May 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $212M to $201MMay 20, 2025 to Mar 31, 2026
- HNW RAUM · $71.9M to $111MMay 20, 2025 to Mar 31, 2026
- Individual RAUM · $123M to $74.9MMay 20, 2025 to Mar 31, 2026
- RAUM · $212M to $201MMay 20, 2025 to Mar 31, 2026
- Wrap assets (manager) · unset to 148079108.0May 20, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · unset to 0.0May 20, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 20, 2025 to May 20, 2025
- Accounts · 525 to 546Feb 11, 2025 to Mar 20, 2025
- HNW clients · 47 to 24Feb 11, 2025 to Mar 20, 2025
- Individual clients · 140 to 314Feb 11, 2025 to Mar 20, 2025
- Discretionary RAUM · $178M to $212MFeb 11, 2025 to Mar 20, 2025
- HNW RAUM · $87.5M to $71.9MFeb 11, 2025 to Mar 20, 2025
- Individual RAUM · $74.2M to $123MFeb 11, 2025 to Mar 20, 2025
- RAUM · $178M to $212MFeb 11, 2025 to Mar 20, 2025
- Advisory employees · 11 to 10Nov 19, 2024 to Feb 11, 2025
- Employees · 11 to 10Nov 19, 2024 to Feb 11, 2025
- State-registered IARs · 11 to 10Nov 19, 2024 to Feb 11, 2025
- Wrap assets (manager) · 177512000.0 to unsetJul 12, 2024 to Nov 4, 2024
- Wrap assets (sponsor) · 0.0 to unsetJul 12, 2024 to Nov 4, 2024
- Advisory employees · 10 to 11Mar 7, 2024 to Jul 12, 2024
- BD registered reps · 5 to 6Mar 7, 2024 to Jul 12, 2024
- Employees · 10 to 11Mar 7, 2024 to Jul 12, 2024
- State-registered IARs · 10 to 11Mar 7, 2024 to Jul 12, 2024
- Accounts · 432 to 525Oct 30, 2023 to Mar 7, 2024
- HNW clients · 40 to 47Oct 30, 2023 to Mar 7, 2024
- Individual clients · 390 to 140Oct 30, 2023 to Mar 7, 2024
- Discretionary RAUM · $150M to $178MOct 30, 2023 to Mar 7, 2024
- HNW RAUM · $87.9M to $87.5MOct 30, 2023 to Mar 7, 2024
- Individual RAUM · $47.2M to $74.2MOct 30, 2023 to Mar 7, 2024
- RAUM · $150M to $178MOct 30, 2023 to Mar 7, 2024
- Wrap assets (manager) · $70.0M to $178MOct 30, 2023 to Mar 7, 2024
Signals
3 dated events
- L••• M•••• A••••• C•••••• left S•••••••• A••••••• S••••••• for P•••••• A•••••• G••••• L•• (registered 2025-03-27)May 20, 2025 · a•••••• firm change · fact
- 2 advisors left W••••••••• A••••••• P••••••• L•• (West Chester, PA) for S•••••••• A••••••• S••••••• on the same dayAug 2, 2022 · Team lift-out · derived
- S•••••••• A••••••• S••••••• filed its initial SEC registration (Form ADV)Jan 7, 2022 · 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
- Business phone
- 901-290-1322reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 901-290-1366reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 901-290-4293reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- saswealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 901-751-2025reportedpublic record, Form ADV, Aug 27, 2026
- Team page
- saswealthadvisors.com/team.htmreportedpublished by the firm, firm site, Sep 16, 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
- $25.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026