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
C•••• • P•••••
Legal name C•••• • P•••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Feb 7, 2013 · 22 filings
SEC status approved since Feb 25, 2013
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$126M as of Mar 24, 2026
Jun 3, 2014$110M then
HNW client RAUM$73.8M as of Mar 24, 2026
Feb 28, 2018$142M then
State-registered IARs (5.B.3)7 as of Mar 24, 2026
Jun 3, 20146 then
Employees (5.A)8 as of Mar 24, 2026
Jun 3, 201430 then
Private funds1 as of Feb 2, 2016
Jun 3, 20141 then
RAUM -48% over the last fiscal year-2.6% a year over threeIARs 10 to 7offices 4 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 213derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $584,831derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -48%derivedbetween the last two annual amendments
- Advisor growth, one year
- -30%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -49%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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$73.8M66%
- Individuals$36.8M33%
- Investment companies$542,5260.5%
- Charitable organizations$100,0000.1%
- Individual clients
- 173reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 216reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••• C••••Chartered Financial Analyst | Jackson, Ms | Jul 19, 2011 | 42 y | 0 |
Advisor movement
6 left, 0 joined in 12 months
net -6 in 12 months6 left in 90 days0 joined in 90 daysdeparture rate 600% of current headcount11 left over 36 months
Left, latest
- L••••• A•• G••• to M•••• • C••••• I••Jul 29, 2026 · RIA to affiliated broker-dealer or bank
- C••••• C•••• F••••••••• to M•••• • C••••• I••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• P•••• M••••• to M•••• • C••••• I••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- N••••• L•••• W••• to M•••• • C••••• I••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- B•••• J•• M•••• to M•••• • C••••• I••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- J•••• C••••••• C•••••••• to M•••• • C••••• I••Jul 17, 2026 · RIA to affiliated broker-dealer or bank
- E•••••••• W••••••• R••••• to C••••••••• F•••••••• N••••••Jun 25, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• A•••• B•••• to C••••••••• F•••••••• N••••••Jun 25, 2025 · RIA to affiliated broker-dealer or bank
- D•••• W•••••• P••••• to C••••••••• F•••••••• N••••••Jun 25, 2025 · RIA to affiliated broker-dealer or bank
- D•••• S••••••••• M•••• to E•••••• W•••••• L••May 2, 2025 · RIA to RIA
- K••• F•••• G••••••••• to N•••••• A•••••••Oct 9, 2023 · RIA to affiliated broker-dealer or bank
- C•••••• W•••••• A•••• to R••••••• W••••• S••••••••• L••Jul 28, 2022 · RIA to a newly registered adviser
- M•••••• A• P•••••• to R••••••• W••••• S••••••••• L••Jul 28, 2022 · RIA to a newly registered adviser
- P•••••• C•••••• B•••••• to R••••••• W••••• S••••••••• L••Jul 28, 2022 · RIA to a newly registered adviser
Joined, latest
- C••••• C•••• F••••••••• from R•••••• J•••• • A••••••••• I•••Aug 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A• P•••••• from C••••••• G••••• L•••••Feb 23, 2018 · Other
- L••••• A•• G••• from M••••• S••••••Aug 8, 2016 · Other
- C•••••• W•••••• A•••• from U•• F•••••••• S••••••• I•••Sep 7, 2012 · Other
- N••••• L•••• W••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 2, 2012 · Other
- P•••••• C•••••• B•••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Aug 18, 2009 · Other
- B•••• J•• M•••• from C•••••••• G••••• M•••••• I•••Apr 17, 2009 · Other
- J•••• C••••••• C•••••••• from C•••••••• G••••• M•••••• I•••Apr 17, 2009 · Other
- M•••••• A•••• B•••• from C•••••••• G••••• M•••••• I•••Apr 3, 2009 · Other
- D•••• W•••••• P••••• from C•••••••• G••••• M•••••• I•••Apr 3, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••• • C••••• I••Jul 17, 2026 · New Orleans, La
- 3 left for M•••• • C••••• I••Jul 17, 2026 · Jackson, Ms
- 3 left for C••••••••• F•••••••• N••••••Jun 25, 2025 · Jackson, Ms
- 3 left for R••••••• W••••• S••••••••• L••Jul 28, 2022 · Jackson, Ms
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• N•• S•••• F•••no longer reported | Hedge Fund | $500,000 | 7 | Feb 7, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••• M•••••• A•••• · Principalcontrolsince 10/2021 · owns less than 5%
- C••••• J•••• D•••• · Chief Executive Officer / Chief Financial Operations Officer / Chief Legal Officer / Cco/Presidentcontrolsince 09/1991 · owns 75% or more
- G•••• L••••• A•• · Compliance Officersince 10/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Jackson, Ms · principal | 1 | 0 | 3 | 1 | |
| New Orleans, La | 1 | 0 | 2 | 1 | |
| Mountain Brook, Al | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Covington, LA1 employees
- Muscle Shoals, AL1 employees
- New Orleans, LA1 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 428.0 to 216.0 (-50.0%) between the annual amendments of 2025-03-11 and 2026-03-24; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.1% percentile
- RAUM down 25 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $244,065,071 to $126,323,487 (-48.0%) between the annual amendments of 2025-03-11 and 2026-03-24; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.6% percentile
- client count collapseChange between filings · filing Mar 24, 2026individual and HNW clients (Item 5.D) moved from 416.0 to 213.0 (-49.0%) between the annual amendments of 2025-03-11 and 2026-03-24; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.7% percentile
- advisor count dropChange between filings · filing Mar 24, 2026advisory representatives (Item 5.B.3) moved from 10.0 to 7.0 (-30.0%) between the annual amendments of 2025-03-11 and 2026-03-24; the peer median change was 0.0% (965 comparable advisers, 6.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 5.9% percentile
- employee count dropChange between filings · filing Mar 24, 2026employees (Item 5.A) moved from 13.0 to 8.0 (-38.0%) between the annual amendments of 2025-03-11 and 2026-03-24; the peer median change was 0.0% (507 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 4.3% percentile
Data quality: RAUM $136,751,929 then $791,537,508 then $244,065,071 on consecutive annual amendments (2024-03-19, 2025-03-11); the middle value is likely a filing error
What changed
consecutive filings, newest first
- Accounts · 428 to 216Mar 11, 2025 to Mar 24, 2026
- Advisory employees · 10 to 7Mar 11, 2025 to Mar 24, 2026
- BD registered reps · 13 to 8Mar 11, 2025 to Mar 24, 2026
- Charity clients · 3 to 1Mar 11, 2025 to Mar 24, 2026
- Corporate clients · 6.0 to unsetMar 11, 2025 to Mar 24, 2026
- HNW clients · 166 to 40Mar 11, 2025 to Mar 24, 2026
- Individual clients · 250 to 173Mar 11, 2025 to Mar 24, 2026
- Pension plan clients · 2.0 to unsetMar 11, 2025 to Mar 24, 2026
- Employees · 13 to 8Mar 11, 2025 to Mar 24, 2026
- State-registered IARs · 10 to 7Mar 11, 2025 to Mar 24, 2026
- Other offices · 4 to 3Mar 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $244M to $126MMar 11, 2025 to Mar 24, 2026
- HNW RAUM · $144M to $73.8MMar 11, 2025 to Mar 24, 2026
- Individual RAUM · $39.9M to $36.8MMar 11, 2025 to Mar 24, 2026
- Pension RAUM · 6600000.0 to unsetMar 11, 2025 to Mar 24, 2026
- RAUM · $244M to $126MMar 11, 2025 to Mar 24, 2026
- Accounts · 1,800 to 428Apr 4, 2024 to Mar 11, 2025
- BD registered reps · 16 to 13Apr 4, 2024 to Mar 11, 2025
- Charity clients · 2 to 3Apr 4, 2024 to Mar 11, 2025
- Corporate clients · 7 to 6Apr 4, 2024 to Mar 11, 2025
- HNW clients · 170 to 166Apr 4, 2024 to Mar 11, 2025
- Individual clients · 1,630 to 250Apr 4, 2024 to Mar 11, 2025
- Pension plan clients · 5 to 2Apr 4, 2024 to Mar 11, 2025
- Employees · 16 to 13Apr 4, 2024 to Mar 11, 2025
- Financial planning clients · 26-50 to 26-50Apr 4, 2024 to Mar 11, 2025
- Discretionary RAUM · $224M to $244MApr 4, 2024 to Mar 11, 2025
- HNW RAUM · $188M to $144MApr 4, 2024 to Mar 11, 2025
- Individual RAUM · $567M to $39.9MApr 4, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $567M to $0Apr 4, 2024 to Mar 11, 2025
- Pension RAUM · $12.4M to $6.6MApr 4, 2024 to Mar 11, 2025
- RAUM · $792M to $244MApr 4, 2024 to Mar 11, 2025
- Accounts · 427 to 1,800Mar 15, 2023 to Mar 19, 2024
- Advisory employees · 9 to 10Mar 15, 2023 to Mar 19, 2024
- BD registered reps · 18 to 16Mar 15, 2023 to Mar 19, 2024
- Charity clients · 1 to 2Mar 15, 2023 to Mar 19, 2024
- Corporate clients · 4 to 7Mar 15, 2023 to Mar 19, 2024
- HNW clients · 71 to 170Mar 15, 2023 to Mar 19, 2024
- Individual clients · 347 to 1,630Mar 15, 2023 to Mar 19, 2024
- Pension plan clients · 2 to 5Mar 15, 2023 to Mar 19, 2024
- Employees · 18 to 16Mar 15, 2023 to Mar 19, 2024
Signals
27 dated events
- L••••• A•• G••• left C•••• • P••••• for M•••• • C••••• I•• (registered 2026-07-20)Jul 29, 2026 · Advisor changed firm · fact
- B•••• J•• M•••• left C•••• • P••••• for M•••• • C••••• I•• (registered 2026-07-17)Jul 17, 2026 · Advisor changed firm · fact
- C••••• C•••• F••••••••• left C•••• • P••••• for M•••• • C••••• I•• (registered 2026-07-20)Jul 17, 2026 · Advisor changed firm · fact
- M•••••• P•••• M••••• left C•••• • P••••• for M•••• • C••••• I•• (registered 2026-07-17)Jul 17, 2026 · Advisor changed firm · fact
- N••••• L•••• W••• left C•••• • P••••• for M•••• • C••••• I•• (registered 2026-07-17)Jul 17, 2026 · Advisor changed firm · fact
- J•••• C••••••• C•••••••• left C•••• • P••••• for M•••• • C••••• I•• (registered 2026-07-17)Jul 17, 2026 · Advisor changed firm · fact
- 2 advisors left C•••• • P••••• (New Orleans, LA) for M•••• • C••••• I•• on the same dayJul 17, 2026 · Team lift-out · derived
- 3 advisors left C•••• • P••••• (Jackson, MS) for M•••• • C••••• I•• within 12 daysJul 17, 2026 · Team lift-out · derived
- C•••• • P••••• reported RAUM $126.3M, down 48% from $244.1M (2025-03-11 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- E•••••••• W••••••• R••••• left C•••• • P••••• for C••••••••• F•••••••• N•••••• (registered 2025-06-02)Jun 25, 2025 · Advisor changed firm · fact
- M•••••• A•••• B•••• left C•••• • P••••• for C••••••••• F•••••••• N•••••• (registered 2025-06-02)Jun 25, 2025 · Advisor changed firm · fact
- D•••• W•••••• P••••• left C•••• • P••••• for C••••••••• F•••••••• N•••••• (registered 2025-06-02)Jun 25, 2025 · Advisor changed firm · fact
- 3 advisors left C•••• • P••••• (Jackson, MS) for C••••••••• F•••••••• N•••••• on the same dayJun 25, 2025 · Team lift-out · derived
- D•••• S••••••••• M•••• left C•••• • P••••• for E•••••• W•••••• L•• (registered 2025-05-16)May 2, 2025 · Advisor changed firm · fact
- C•••• • P••••• reported RAUM $244.1M, down 69% from $791.5M (2024-04-04 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- C•••• • P••••• reported RAUM $791.5M, up 479% from $136.8M (2023-03-15 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- K••• F•••• G••••••••• left C•••• • P••••• for N•••••• A••••••• (registered 2026-08-20)Oct 9, 2023 · Advisor changed firm · fact
- C•••• • P••••• reported RAUM $136.8M, down 65% from $395.4M (2023-01-24 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- M•••••• A• P•••••• left C•••• • P••••• for R••••••• W••••• S••••••••• L•• (registered 2022-08-15)Jul 28, 2022 · Advisor changed firm · fact
- P•••••• C•••••• B•••••• left C•••• • P••••• for R••••••• W••••• S••••••••• L•• (registered 2022-08-15)Jul 28, 2022 · Advisor changed firm · fact
- C•••••• W•••••• A•••• left C•••• • P••••• for R••••••• W••••• S••••••••• L•• (registered 2022-07-26)Jul 28, 2022 · Advisor changed firm · fact
- 3 advisors left C•••• • P••••• (Jackson, MS) for R••••••• W••••• S••••••••• L•• on the same dayJul 28, 2022 · Team lift-out · derived
- C•••• • P••••• reported RAUM $395.4M, up 39% from $284.3M (2021-03-30 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- James Young P••••• (Secretary/Tresurer, Sr. Reg Options Prin., Compliance Reg Opt Prin) no longer on Schedule A of C•••• • P••••• (listed 2021-03-30, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- M•••••• A•••• B•••• (Principal) appeared on Schedule A of C•••• • P•••••Mar 17, 2022 · Control person joined · fact
- C•••• • P••••• reported RAUM $284.3M, up 64% from $173.2M (2020-06-25 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- C•••• • P••••• filed its initial SEC registration (Form ADV)Feb 7, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• • P••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 601-354-0860reportedpublic record, Form ADV, Mar 24, 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026