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

F••••• H••• S•••••••• V•••• A•••••••• L••

Former SEC-registered adviserLittle Rock, ArkansasCRD 318868SEC 801-124838IAPD
Latest filing Mar 29, 2024
First filing on the tape Mar 30, 2022 · 5 filings
RAUM
$120M
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
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$120M as of Mar 29, 2024
Mar 30, 2023$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 30, 20230 then
Employees (5.A)4 as of Mar 29, 2024
Mar 30, 20234 then
Private funds: no history
RAUM -23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$59.9MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-23%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
Custody
yesreportedItem 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$120M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• T••••••• A••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 01/2022 · owns less than 5%
      • G••••••• B•••••••• J••••• · Managing Directorcontrol
        since 01/2022 · owns less than 5%
      • K•••••• C••••••••• T••• · Managing Directorcontrol
        since 01/2022 · owns less than 5%
      • L••• M•••• A•••• · Managing Directorcontrol
        since 01/2022 · owns less than 5%
      • G••••••• B•••••••• J••••• · Membercontrol
        since 01/2022 · owns 50% to 75% of W••••••••• P•••••••• L••
      • K•••••• C••••••••• T••• · Manager And Membercontrol
        since 01/2022 · owns 50% to 75% of W••••••••• P•••••••• L••
      • L••• M•••• A•••• · Managing Member And Presidentcontrol
        since 01/2000 · owns 75% or more of F••••• H••• C••••••• L••
      Entity owners
      • F••••• H••• C••••••• L•• · Manager
        direct · owns less than 5%
      • W••••••••• P•••••••• L•• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list F••••• H••• S•••••••• V•••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Memphis, TN2 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $156M to $120M
        Mar 30, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $156M to $120M
        Mar 30, 2023 to Mar 29, 2024
      • RAUM · $156M to $120M
        Mar 30, 2023 to Mar 29, 2024
      • Discretionary RAUM · $244M to $156M
        Jun 14, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $244M to $156M
        Jun 14, 2022 to Mar 30, 2023
      • RAUM · $244M to $156M
        Jun 14, 2022 to Mar 30, 2023
      • Accounts · unset to 2.0
        Apr 5, 2022 to Jun 14, 2022
      • Pooled vehicle clients · unset to 2.0
        Apr 5, 2022 to Jun 14, 2022
      • Discretionary RAUM · unset to 244008272.0
        Apr 5, 2022 to Jun 14, 2022
      • Non-discretionary RAUM · unset to 0.0
        Apr 5, 2022 to Jun 14, 2022
      • Pooled vehicle RAUM · unset to 244008272.0
        Apr 5, 2022 to Jun 14, 2022
      • RAUM · unset to 244008272.0
        Apr 5, 2022 to Jun 14, 2022
      Signals
      1 dated events
      • F••••• H••• S•••••••• V•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 30, 2022 · 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