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
T••••••••• W••••• P••••••• L••
Latest filing Mar 6, 2023
First filing on the tape Mar 17, 2020 · 20 filings
RAUM
$189M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$183M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$189M as of Mar 6, 2023
Mar 11, 2021$173M then
HNW client RAUM$120M as of Mar 6, 2023
Mar 11, 2021$113M then
State-registered IARs (5.B.3)2 as of Mar 6, 2023
Mar 11, 20212 then
Employees (5.A)4 as of Mar 6, 2023
Mar 11, 20216 then
Private funds: no history
RAUM -12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2023; every figure names its basis
- RAUM per advisor
- $94.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $327,164derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $46.0M, 43 clientsreportedItem 9.A
- 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 cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$120M63%
- Individuals$63.3M34%
- Corporations and businesses$5.7M3.0%
- Individual clients
- 151reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 577reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.0M for 43 clientsreported
- Compensation
- % of AUMreported
- 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
- D•••• K•••• M••••• to M•• C•••••• M••••••••• L••Jul 7, 2023 · RIA to RIA
- P•••• S•••••• to M•• C•••••• M••••••••• L••Jul 7, 2023 · RIA to RIA
Joined, latest
- D•••• K•••• M••••• from A••••••••• F•••••••• S•••••••• L••Jun 5, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•• C•••••• M••••••••• L••Jul 7, 2023 · Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D••••• K•••• · Managing Member And Chief Compliance Officercontrolsince 05/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 545 to 577Sep 6, 2022 to Mar 6, 2023
- Corporate clients · 3.0 to unsetSep 6, 2022 to Mar 6, 2023
- HNW clients · 58 to 50Sep 6, 2022 to Mar 6, 2023
- Individual clients · 132 to 151Sep 6, 2022 to Mar 6, 2023
- Assets in custody · $38.9M to $46.0MSep 6, 2022 to Mar 6, 2023
- Employees · 5 to 4Sep 6, 2022 to Mar 6, 2023
- Financial planning clients · 26-50 to 11-25Sep 6, 2022 to Mar 6, 2023
- Discretionary RAUM · $210M to $184MSep 6, 2022 to Mar 6, 2023
- HNW RAUM · $150M to $120MSep 6, 2022 to Mar 6, 2023
- Individual RAUM · $57.7M to $63.3MSep 6, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $4.7M to $5.0MSep 6, 2022 to Mar 6, 2023
- RAUM · $214M to $189MSep 6, 2022 to Mar 6, 2023
- Accounts · 501 to 545Jul 14, 2021 to Feb 8, 2022
- Corporate clients · unset to 3.0Jul 14, 2021 to Feb 8, 2022
- HNW clients · 46 to 58Jul 14, 2021 to Feb 8, 2022
- Individual clients · 131 to 132Jul 14, 2021 to Feb 8, 2022
- Assets in custody · $35.6M to $38.9MJul 14, 2021 to Feb 8, 2022
- Employees · 6 to 5Jul 14, 2021 to Feb 8, 2022
- Financial planning clients · 11-25 to 26-50Jul 14, 2021 to Feb 8, 2022
- Discretionary RAUM · $169M to $210MJul 14, 2021 to Feb 8, 2022
- HNW RAUM · $113M to $150MJul 14, 2021 to Feb 8, 2022
- Individual RAUM · $54.1M to $57.7MJul 14, 2021 to Feb 8, 2022
- Non-discretionary RAUM · $3.9M to $4.7MJul 14, 2021 to Feb 8, 2022
- RAUM · $173M to $214MJul 14, 2021 to Feb 8, 2022
- Accounts · 471 to 501Dec 16, 2020 to Mar 11, 2021
- Advisory employees · 3 to 2Dec 16, 2020 to Mar 11, 2021
- Individual clients · 116 to 131Dec 16, 2020 to Mar 11, 2021
- Assets in custody · unset to 35626800.0Dec 16, 2020 to Mar 11, 2021
- Custody of client assets · false to trueDec 16, 2020 to Mar 11, 2021
- Financial planning clients · 0 to 11-25Dec 16, 2020 to Mar 11, 2021
- State-registered IARs · 3 to 2Dec 16, 2020 to Mar 11, 2021
- Discretionary RAUM · $140M to $169MDec 16, 2020 to Mar 11, 2021
- HNW RAUM · $97.2M to $113MDec 16, 2020 to Mar 11, 2021
- Individual RAUM · $41.3M to $54.1MDec 16, 2020 to Mar 11, 2021
- Non-discretionary RAUM · $3.5M to $3.9MDec 16, 2020 to Mar 11, 2021
- RAUM · $144M to $173MDec 16, 2020 to Mar 11, 2021
- Accounts · 0 to 471Jun 29, 2020 to Aug 25, 2020
- HNW clients · unset to 46.0Jun 29, 2020 to Aug 25, 2020
- Individual clients · unset to 116.0Jun 29, 2020 to Aug 25, 2020
- Discretionary RAUM · $0 to $140MJun 29, 2020 to Aug 25, 2020
Signals
8 dated events
- P•••• S•••••• left T••••••••• W••••• P••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-02-07)Jul 7, 2023 · Advisor changed firm · fact
- D•••• K•••• M••••• left T••••••••• W••••• P••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-02-14)Jul 7, 2023 · Advisor changed firm · fact
- 2 advisors left T••••••••• W••••• P••••••• L•• (Little Rock, AR) for M•• C•••••• M••••••••• L•• on the same dayJul 7, 2023 · Team lift-out · derived
- Russ Bob Chambers (Head Of Operations And Chief Compliance Officer) no longer on Schedule A of T••••••••• W••••• P••••••• L•• (listed 2020-12-16, absent 2021-03-11)Mar 11, 2021 · Control person left · inference
- Russ Bob Chambers (Chief Compliance Officer / Investment Advisor Representative) appeared on Schedule A of T••••••••• W••••• P••••••• L••May 28, 2020 · Control person joined · fact
- Keith David Meador (Managing Member) appeared on Schedule A of T••••••••• W••••• P••••••• L••May 28, 2020 · Control person joined · fact
- Edward Christopher Winn (Chief Compliance Officer) no longer on Schedule A of T••••••••• W••••• P••••••• L•• (listed 2020-04-17, absent 2020-05-28)May 28, 2020 · Control person left · inference
- T••••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 17, 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.
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