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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Former SEC-registered adviser

G•••• S••••• W••••• M••••••••• L••

Former SEC-registered adviserMemphis, TennesseeCRD 297048SEC 801-113334IAPD
Latest filing Feb 15, 2019
First filing on the tape May 1, 2018 · 3 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
86%
$1.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
17
$152M gross assets
History
3 filings and snapshots on the tape
RAUM$2.2B as of Feb 15, 2019
May 1, 2018$0 then
HNW client RAUM$1.9B as of Feb 15, 2019
May 1, 2018$0 then
State-registered IARs (5.B.3)12 as of Feb 15, 2019
May 1, 20189 then
Employees (5.A)15 as of Feb 15, 2019
May 1, 201811 then
Private funds: 17
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 15, 2019; every figure names its basis
RAUM per advisor
$187MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$18.0MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
84%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 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)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.9B86%
  • Corporations and businesses$284M13%
  • Insurance companies$14.3M0.6%
  • Charitable organizations$11.4M0.5%
Individual clients
n/areported
HNW clients
107reported
Pension plan clients
0reported
Charitable clients
11reported
Accounts
1,504reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S••••• V• • B••••• S•••••• • M•••••• P••••••••• I•• A• S••••• O• G•••• S••••• I••••••••• P•••••••• L••Hedge Fund$2.5M45Feb 15, 2019
Owners and control persons
Schedule A and B, latest filing
  • F••••• R••••••• A••••••• · Chief Compliance Officercontrol
    since 08/2016 · owns less than 5%
  • H•••• D••••••• L••• · Founder And Senior Managing Directorcontrol
    since 08/2016 · owns 50% to 75%
  • W••••••••• W••••••• C••• · Senior Managing Directorcontrol
    since 04/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0 to 1,504
    Aug 30, 2018 to Feb 15, 2019
  • Advisory employees · 5 to 12
    Aug 30, 2018 to Feb 15, 2019
  • Charity clients · 0 to 11
    Aug 30, 2018 to Feb 15, 2019
  • Corporate clients · 0 to 38
    Aug 30, 2018 to Feb 15, 2019
  • HNW clients · 0 to 107
    Aug 30, 2018 to Feb 15, 2019
  • Individual clients · 0.0 to unset
    Aug 30, 2018 to Feb 15, 2019
  • Assets in custody · unset to 2238709117.0
    Aug 30, 2018 to Feb 15, 2019
  • Employees · 11 to 15
    Aug 30, 2018 to Feb 15, 2019
  • State-registered IARs · 9 to 12
    Aug 30, 2018 to Feb 15, 2019
  • Private funds · unset to 17
    Aug 30, 2018 to Feb 15, 2019
  • Discretionary RAUM · $0 to $1.9B
    Aug 30, 2018 to Feb 15, 2019
  • HNW RAUM · $0 to $1.9B
    Aug 30, 2018 to Feb 15, 2019
  • Individual RAUM · 0.0 to unset
    Aug 30, 2018 to Feb 15, 2019
  • Non-discretionary RAUM · $0 to $358M
    Aug 30, 2018 to Feb 15, 2019
  • RAUM · $0 to $2.2B
    Aug 30, 2018 to Feb 15, 2019
Signals
2 dated events
  • Cary Woodson Whitehead (Senior Managing Director) appeared on Schedule A of G•••• S••••• W••••• M••••••••• L••
    Feb 15, 2019 · Control person joined · fact
  • G•••• S••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    May 1, 2018 · First SEC registration · 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