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
W••••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 11, 2020 · 11 filings
SEC status approved since Jun 10, 2020
RAUM
$41.2M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$41.2M as of Mar 27, 2026
Mar 23, 2021$17.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 23, 20211 then
Employees (5.A)3 as of Mar 27, 2026
Mar 23, 20213 then
Private funds1 as of Mar 27, 2026
Mar 23, 20211 then
RAUM +26% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- 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
- $20.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%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 pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$41.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• C••••••••• M••••• F••• L•••••• | Hedge Fund | $30.7M | 52 | May 11, 2020 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• W•••••• · Chief Investment Officercontrolsince 03/2023 · owns less than 5%
- S•••••• S•••••• W•••• · Membercontrolsince 01/2020 · owns 75% or more
- S••••• C••••• H••••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- S• G• I• L••pooled vehicle sponsorn
- S•••• G•••• C•••••• A•••••••• L••investment advisernRAUM $1.6B
- S•••• G•••• R••••• A•••••••• L••pooled vehicle sponsorn
- W••••••••• C••••••••• F••• ••• L••pooled vehicle sponsorn
Advisers that list W••••••••• C•••••• M••••••••• L•• as a related person
- 115231 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $32.7M to $41.2MJun 6, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $32.7M to $41.2MJun 6, 2025 to Mar 27, 2026
- RAUM · $32.7M to $41.2MJun 6, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 3, 2025 to Jun 6, 2025
- Advisory employees · 2 to 3Aug 1, 2024 to Mar 3, 2025
- Insurance-licensed employees · 2 to 3Aug 1, 2024 to Mar 3, 2025
- State-registered IARs · 1 to 0Aug 1, 2024 to Mar 3, 2025
- Discretionary RAUM · $30.7M to $32.7MAug 1, 2024 to Mar 3, 2025
- Pooled vehicle RAUM · $30.7M to $32.7MAug 1, 2024 to Mar 3, 2025
- RAUM · $30.7M to $32.7MAug 1, 2024 to Mar 3, 2025
- Insurance-licensed employees · 1 to 2Oct 6, 2023 to Mar 20, 2024
- State-registered IARs · 0 to 1Oct 6, 2023 to Mar 20, 2024
- Discretionary RAUM · $29.0M to $30.7MOct 6, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $29.0M to $30.7MOct 6, 2023 to Mar 20, 2024
- RAUM · $29.0M to $30.7MOct 6, 2023 to Mar 20, 2024
- Assets in custody · 0.0 to unsetMar 30, 2022 to Mar 29, 2023
- Insurance-licensed employees · 0 to 1Mar 30, 2022 to Mar 29, 2023
- State-registered IARs · 1 to 0Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $34.3M to $29.0MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $34.3M to $29.0MMar 30, 2022 to Mar 29, 2023
- RAUM · $34.3M to $29.0MMar 30, 2022 to Mar 29, 2023
- Assets in custody · $17.9M to $0Apr 30, 2021 to Mar 30, 2022
- Custody of client assets · true to falseApr 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $17.9M to $34.3MApr 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $17.9M to $34.3MApr 30, 2021 to Mar 30, 2022
- RAUM · $17.9M to $34.3MApr 30, 2021 to Mar 30, 2022
- Accounts · 0 to 2May 11, 2020 to Mar 23, 2021
- Charity clients · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- Corporate clients · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- HNW clients · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- Individual clients · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- Pension plan clients · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- Pooled vehicle clients · 0 to 2May 11, 2020 to Mar 23, 2021
- Assets in custody · $0 to $17.9MMay 11, 2020 to Mar 23, 2021
- Insurance-licensed employees · 1 to 0May 11, 2020 to Mar 23, 2021
- Discretionary RAUM · $0 to $17.9MMay 11, 2020 to Mar 23, 2021
- HNW RAUM · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- Individual RAUM · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- Pension RAUM · 0.0 to unsetMay 11, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $0 to $17.9MMay 11, 2020 to Mar 23, 2021
Signals
8 dated events
- William Carroll Martin no longer registered at W••••••••• C•••••• M••••••••• L••; no later IA registration on IAPDDec 31, 2024 · Advisor departure · fact
- Heppel Craig Sneed (Chief Compliance Officer) appeared on Schedule A of W••••••••• C•••••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- William Martin (Chief Investment Officer) appeared on Schedule A of W••••••••• C•••••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- Thomas Christopher Whitman (Member) no longer on Schedule A of W••••••••• C•••••• M••••••••• L•• (listed 2022-03-30, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Michael John Roach (Chief Compliance Officer) no longer on Schedule A of W••••••••• C•••••• M••••••••• L•• (listed 2022-03-30, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- O••••• J•••• H••••• (Chief Compliance Officer) no longer on Schedule A of W••••••••• C•••••• M••••••••• L•• (listed 2021-03-23, absent 2021-04-30)Apr 30, 2021 · Control person left · inference
- Michael John Roach (Chief Compliance Officer) appeared on Schedule A of W••••••••• C•••••• M••••••••• L••Apr 30, 2021 · Control person joined · fact
- W••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 11, 2020 · 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
- 901-701-8370reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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