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•••••• C•••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Nov 3, 2017 · 19 filings
SEC status approved since Dec 4, 2017
RAUM
$410M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$410M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$410M as of Mar 20, 2026
Mar 9, 2018$33.3M then
HNW client RAUM$410M as of Mar 20, 2026
Mar 9, 2018$33.3M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 9, 20180 then
Employees (5.A)3 as of Mar 20, 2026
Mar 9, 20181 then
Private funds: no history
RAUM +92% over the last fiscal year+84% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +92%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +96%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$410M100%
- Individual clients
- 0reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 239reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• A••••••• C••••• | Atlanta, Ga | Jun 14, 2023 | 19 y | 0 |
| M•••••• J••••• S•••••• | Memphis, Tn | Nov 20, 2023 | 23 y | 3 |
| M•••• E•••• L••• | Salt Lake City, Ut | May 4, 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
- M•••••• J••••• S•••••• from S•••• G•••• C•••••• A•••••••• L••Nov 20, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• E••••• A••••••• · Managing Member/Chief Compliance Officercontrolsince 04/2017 · owns 75% or more
- C•••••• C•••••••• W•••••• · Trusteesince 09/2017 · owns F of R•••••• T••••
- C•••••• K••••••••• T••••• · Trusteesince 09/2017 · owns F of R•••••• T••••
Entity owners
- R•••••• T•••• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Atlanta, Ga | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 20, 2026HNW RAUM per HNW client of $8,726,805 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.3 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
- RAUM up 50 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $213,179,129 to $410,159,817 (+92.0%) between the annual amendments of 2025-02-25 and 2026-03-20; the peer median change was +15.0% (4549 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 99% percentile
- custody status changedChange between filings · filing Mar 20, 2026custody of client assets (Item 9.A): yes on the filing of 2026-02-06, no on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 132 to 239Feb 6, 2026 to Mar 20, 2026
- HNW clients · 24 to 47Feb 6, 2026 to Mar 20, 2026
- Assets in custody · 8671489.0 to unsetFeb 6, 2026 to Mar 20, 2026
- Custody of client assets · true to falseFeb 6, 2026 to Mar 20, 2026
- Employees · 2 to 3Feb 6, 2026 to Mar 20, 2026
- Discretionary RAUM · $213M to $410MFeb 6, 2026 to Mar 20, 2026
- HNW RAUM · $213M to $410MFeb 6, 2026 to Mar 20, 2026
- RAUM · $213M to $410MFeb 6, 2026 to Mar 20, 2026
- Financial planning clients · unset to Feb 25, 2025 to Jun 3, 2025
- Accounts · 97 to 132Mar 1, 2024 to Feb 25, 2025
- HNW clients · 22 to 24Mar 1, 2024 to Feb 25, 2025
- Assets in custody · $270,177 to $8.7MMar 1, 2024 to Feb 25, 2025
- HQ city · unset to Mar 1, 2024 to Feb 25, 2025
- HQ state · unset to Mar 1, 2024 to Feb 25, 2025
- Discretionary RAUM · $153M to $213MMar 1, 2024 to Feb 25, 2025
- HNW RAUM · $153M to $213MMar 1, 2024 to Feb 25, 2025
- RAUM · $153M to $213MMar 1, 2024 to Feb 25, 2025
- Accounts · 59 to 97Nov 16, 2023 to Mar 1, 2024
- Advisory employees · 1 to 2Nov 16, 2023 to Mar 1, 2024
- HNW clients · 11 to 22Nov 16, 2023 to Mar 1, 2024
- Assets in custody · $2.4M to $270,177Nov 16, 2023 to Mar 1, 2024
- Employees · 1 to 2Nov 16, 2023 to Mar 1, 2024
- State-registered IARs · 1 to 2Nov 16, 2023 to Mar 1, 2024
- Other offices · 0 to 1Nov 16, 2023 to Mar 1, 2024
- Discretionary RAUM · $113M to $153MNov 16, 2023 to Mar 1, 2024
- HNW RAUM · $113M to $153MNov 16, 2023 to Mar 1, 2024
- RAUM · $113M to $153MNov 16, 2023 to Mar 1, 2024
- Accounts · 52 to 59Mar 31, 2023 to Sep 8, 2023
- HNW clients · 7 to 11Mar 31, 2023 to Sep 8, 2023
- Assets in custody · $2.4M to $2.4MMar 31, 2023 to Sep 8, 2023
- State-registered IARs · 0 to 1Mar 31, 2023 to Sep 8, 2023
- Discretionary RAUM · $66.2M to $113MMar 31, 2023 to Sep 8, 2023
- HNW RAUM · $66.2M to $113MMar 31, 2023 to Sep 8, 2023
- RAUM · $66.2M to $113MMar 31, 2023 to Sep 8, 2023
- Accounts · 47 to 52Mar 25, 2022 to Mar 31, 2023
- HNW clients · 8 to 7Mar 25, 2022 to Mar 31, 2023
- Assets in custody · $7.9M to $2.4MMar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $56.6M to $66.2MMar 25, 2022 to Mar 31, 2023
- HNW RAUM · $56.6M to $66.2MMar 25, 2022 to Mar 31, 2023
- RAUM · $56.6M to $66.2MMar 25, 2022 to Mar 31, 2023
Signals
2 dated events
- S•••••• C•••••• M••••••••• L•• reported RAUM $410.2M, up 92% from $213.2M (2026-02-06 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- S•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 2017 · 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
- Principal office phone
- (901) 229-2132reportedpublic record, Form ADV, Mar 20, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026