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
M•••• I••••••••• M••••••••• L•
Latest filing Jul 6, 2026
First filing on the tape Jul 23, 2019 · 18 filings
SEC status approved since Aug 22, 2019
RAUM
$321M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$321M as of Jul 6, 2026
Mar 31, 2020$98.6M then
HNW client RAUM$0 as of Jul 6, 2026
Mar 31, 2020$0 then
State-registered IARs (5.B.3)0 as of Jul 6, 2026
Mar 31, 20200 then
Employees (5.A)10 as of Jul 6, 2026
Mar 31, 202020 then
Private funds: no history
RAUM +40% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM 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
- $80.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 87%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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
- Pension and profit-sharing plans$280M87%
- Investment companies$23.5M7.3%
- Pooled investment vehicles$18.0M5.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.13 institutional_share=0.87 related_bd=false related_bank=true bd_reps=0.0derived
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
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
- C••••• K••••••• S•••• · Chief Executive Officercontrolsince 07/2019 · owns less than 5%
- C••••••••• K••••• T••• · Co-Portfolio Managercontrolsince 09/2019 · owns 10% to 25%
- C••••••• T••••••• D•••• · Cio/Portfolio Managercontrolsince 07/2019 · owns 25% to 50%
- M•••••••• W•••••• C••••••• · General Counsel & Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- T•••••••• I••• J•••••• W••••••• · Cfo/Coocontrolsince 10/2023 · owns less than 5%
- M•••••• G••• · Ownercontrolsince 02/1998 · owns 50% to 75% of F•••• U••••• B••• A•• T•••• C••••••
Entity owners
- R••••• A•••• M••••••••• C••••••• L•• · Limited Partnerdirect · owns 50% to 75%
- R••••• G• S•••••••• L•• · General Partnerdirect · owns less than 5%
- F•••• U••••• B••• A•• T•••• C•••••• · Memberindirect · owns 75% or more of R••••• A•••• M••••••••• C••••••• L••
- R••••• A•••• M••••••••• C••••••• L•• · Memberindirect · owns 75% or more of R••••• G• S•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Chattanooga, TN1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 4Mar 31, 2026 to Jul 6, 2026
- Discretionary RAUM · $255M to $321MMar 31, 2026 to Jul 6, 2026
- Pension RAUM · $216M to $280MMar 31, 2026 to Jul 6, 2026
- Pooled vehicle RAUM · $14.4M to $18.0MMar 31, 2026 to Jul 6, 2026
- RAUM · $255M to $321MMar 31, 2026 to Jul 6, 2026
- Accounts · 10 to 6Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 6 to 2Mar 31, 2025 to Mar 31, 2026
- Employees · 9 to 10Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $229M to $255MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $179M to $216MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $22.8M to $14.4MMar 31, 2025 to Mar 31, 2026
- RAUM · $229M to $255MMar 31, 2025 to Mar 31, 2026
- Employees · 8 to 9Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $215M to $229MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $171M to $179MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $22.0M to $22.8MMar 28, 2024 to Mar 31, 2025
- RAUM · $215M to $229MMar 28, 2024 to Mar 31, 2025
- Related bank · false to trueMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $172M to $215MNov 7, 2023 to Mar 28, 2024
- Pension RAUM · $139M to $171MNov 7, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $15.8M to $22.0MNov 7, 2023 to Mar 28, 2024
- RAUM · $172M to $215MNov 7, 2023 to Mar 28, 2024
- Accounts · 9 to 10Mar 31, 2023 to Nov 7, 2023
- Discretionary RAUM · $172M to $172MMar 31, 2023 to Nov 7, 2023
- Pension RAUM · $144M to $139MMar 31, 2023 to Nov 7, 2023
- Pooled vehicle RAUM · $13.7M to $15.8MMar 31, 2023 to Nov 7, 2023
- RAUM · $172M to $172MMar 31, 2023 to Nov 7, 2023
- Accounts · 6 to 9Aug 26, 2022 to Mar 31, 2023
- Advisory activities · 2 to 3Aug 26, 2022 to Mar 31, 2023
- Pension plan clients · 5 to 6Aug 26, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 1.0Aug 26, 2022 to Mar 31, 2023
- Employees · 14 to 8Aug 26, 2022 to Mar 31, 2023
- Discretionary RAUM · $138M to $172MAug 26, 2022 to Mar 31, 2023
- Pension RAUM · $124M to $144MAug 26, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $0 to $13.7MAug 26, 2022 to Mar 31, 2023
- RAUM · $138M to $172MAug 26, 2022 to Mar 31, 2023
- Related bank · true to falseAug 26, 2022 to Mar 31, 2023
- Accounts · 2 to 6Nov 30, 2021 to Mar 31, 2022
- Pension plan clients · 1 to 5Nov 30, 2021 to Mar 31, 2022
Signals
11 dated events
- Scott Peter Carlsen (Cfo/Coo) no longer on Schedule A of M•••• I••••••••• M••••••••• L• (listed 2023-03-31, absent 2023-11-07)Nov 7, 2023 · Control person left · inference
- Whitaker Joseph Iii Thompson (Cfo/Coo) appeared on Schedule A of M•••• I••••••••• M••••••••• L•Nov 7, 2023 · Control person joined · fact
- Greg Massey (Owner) appeared on Schedule A of M•••• I••••••••• M••••••••• L•Nov 7, 2023 · Control person joined · fact
- Christopher Jason Elliott (Limited Partner Of Ranger Capital Group, Lp) no longer on Schedule A of M•••• I••••••••• M••••••••• L• (listed 2022-03-31, absent 2022-08-26)Aug 26, 2022 · Control person left · inference
- Scott Peter Carlsen (Chief Financial Officer) appeared on Schedule A of M•••• I••••••••• M••••••••• L•Nov 30, 2021 · Control person joined · fact
- Whitaker Joseph Iii Thompson (Coo/Cfo) no longer on Schedule A of M•••• I••••••••• M••••••••• L• (listed 2021-03-25, absent 2021-11-30)Nov 30, 2021 · Control person left · inference
- James Nimrod Hacker (General Counsel) no longer on Schedule A of M•••• I••••••••• M••••••••• L• (listed 2021-03-25, absent 2021-11-30)Nov 30, 2021 · Control person left · inference
- Mark Hasbani (Chief Compliance Officer) no longer on Schedule A of M•••• I••••••••• M••••••••• L• (listed 2020-04-30, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- Campbell Wesley Mcdowell (Chief Compliance Officer) appeared on Schedule A of M•••• I••••••••• M••••••••• L•Mar 25, 2021 · Control person joined · fact
- Troy Kevin Carrington (Co-Portfolio Manager) appeared on Schedule A of M•••• I••••••••• M••••••••• L•Mar 25, 2021 · Control person joined · fact
- M•••• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jul 23, 2019 · ria f•••• adv filing · 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
- m•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-871-5200reportedpublic record, Form ADV, Jul 6, 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
- Institutional managerderiveda 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