AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $10.1 |
| Non-Discretionary | $3.6 |
| Total | $13.6 |
| Client | AUM |
|---|---|
| Retail | $3.7 |
| Pooled | $0.0 |
| Institutional | $9.9 |
| Total | $13.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 5,562 | $1.7 |
| Average Individual AUM | $306,045 | |
| HNW | 863 | $2.0 |
| Average HNW AUM | $2,298,916 | |
| Retail Total | 6,425 | $3.7 |
| Average Retail AUM | $573,726 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| FIRST HORIZON BANK | MEMPHIS-TN-USA | $5.5 |
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $3.2 |
| BANK OF AMERICA MERRILL TRUST SERVICES | PENNINGTON-NJ-USA | $1.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $13.6 |
| Retail SMA AUM | $3.7 |
| Institutional SMA AUM | $9.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 25% | $3.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $0.7 |
| Municipal | 5% | $0.7 |
| Sovereign | 0% | $0.0 |
| IG Credit | 3% | $0.4 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 52% | $7.1 |
| Other Pools | 3% | $0.4 |
| Cash | 7% | $1.0 |
| Other | 0% | $0.0 |
| Total | 100% | $13.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| MARTIN & COMPANY, INC | $1.5 | 108718 | |
| FHN FINANCIAL MUNICIPAL ADVISORS, A DIVISION OF FIRST HORIZON BANK | $0.0 | municipal advisor | - |
| FHIS, INC. | $0.0 | - | |
| FIRST HORIZON INSURANCE SERVICES INC | $0.0 | - | |
| FHN FINANCIAL CAPITAL MARKETS, A DIVISION OF FIRST HORIZON BANK (REGISTERED GOVT SECURITIES DEALER) | $0.0 | broker-dealer | - |
| FHN FINANCIAL CAPITAL MARKETS, A DIVISION OF FIRST HORIZON BANK (REGISTERED MUNI SECURITIES DEALER) | $0.0 | broker-dealer | - |
| FHN FINANCIAL SECURITIES CORP | $0.0 | broker-dealer | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active
| Name | Title |
|---|---|
| LAURAIN, GERALD WILLIAM | CHIEF INVESTMENT OFFICER, PRESIDENT, ADVISORY SERVICES |
| AUR, RHOMES CARVALHO | DIRECTOR AND CEO |
| CLAYTON, OTTIS MIMS | FINOP, CFO, DIRECTOR |
| DELAUREAL, MARTIN RENE JR. | PRESIDENT, DIRECTOR |
| KRUSE, KAREN MORTON | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
238 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| LONNIE LISTON | MEMPHIS | TN | S63|1991-12-10 | ||||||
| CHAD GREEN | MEMPHIS | TN | S66|2017-03-30 | ||||||
| ANNA ROJAS | MEMPHIS | TN | S66|2008-05-19 | ||||||
| DENNIS FINGERS | MEMPHIS | TN | S66|2004-06-15 | ||||||
| HEATH PIERCE | MEMPHIS | TN | S63|1998-10-09|S66|2011-05-06 | ||||||
| ANDREW PHILLIPS | MEMPHIS | TN | S66|2012-02-10 | ||||||
| RUSSELL ELMORE | MEMPHIS | TN | S63|2005-03-09|S66|2011-06-30 | ||||||
| DANIEL BOTTO | MEMPHIS | TN | S63|1999-03-26 | ||||||
| KEATON WILLIAMS | MEMPHIS | TN | S63|2013-10-15|S66|2014-05-20 | ||||||
| GREGORY STEISSLINGER | MEMPHIS | TN | S63|1999-02-04 | ||||||
| BRIAN KUEFLER | MEMPHIS | TN | S63|1998-05-08|S65|1998-11-07|S66|2008-09-08 | CERTIFIED FINANCIAL PLANNER | |||||
| JOHN BERGLAND | MEMPHIS | TN | S63|2012-03-13|S65|2012-07-28 | ||||||
| JAMES ANDERSON | MEMPHIS | TN | S63|2016-04-15|S66|2021-06-28 | ||||||
| SUSAN FLETCHER | MEMPHIS | TN | S63|2001-07-26 | ||||||
| CAROL YOCHEM | MEMPHIS | TN | S63|1984-04-18|S66|2000-11-10 | ||||||
| MELISSA CLARK | MEMPHIS | TN | S63|2000-04-04 | ||||||
| MICAH DENNIS | MEMPHIS | TN | S66|2023-12-22 | ||||||
| TYLER HELTON | MEMPHIS | TN | S63|2018-12-12|S66|2020-09-16 | ||||||
| CHARLES HUGUENARD | MEMPHIS | TN | S66|2015-09-08 | ||||||
| TRAVIS LEMONTE | MEMPHIS | TN | S66|2006-06-29 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $13.6 | $0.0 | 0% | 239 | 0 | 0% |
| 2025-04-21 | $13.6 | $0.0 | 0% | 239 | 0 | 0% |
| 2024-04-02 | $12.4 | $1.2 | 10% | 236 | 3 | 1% |
| 2023-04-04 | $11.3 | $2.3 | 20% | 224 | 15 | 7% |
| 2022-04-01 | $13.6 | $0.0 | 0% | 229 | 10 | 4% |
| 2021-04-05 | $8.5 | $5.1 | 60% | 225 | 14 | 6% |
| 2020-04-01 | $7.2 | $6.4 | 89% | 189 | 50 | 26% |
| 2019-04-01 | $6.1 | $7.5 | 122% | 189 | 50 | 26% |
| 2018-04-02 | $5.9 | $7.7 | 132% | 185 | 54 | 29% |
| 2017-04-01 | $4.8 | $8.8 | 183% | 187 | 52 | 28% |
| 2016-04-01 | $4.1 | $9.5 | 230% | 187 | 52 | 28% |
| 2015-04-01 | $4.2 | $9.5 | 227% | 167 | 72 | 43% |
| 2014-04-01 | $3.9 | $9.7 | 251% | 167 | 72 | 43% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| TN, AL-05/31/2013, AR-05/31/2013, AZ-05/31/2013, CA-05/31/2013, CO-05/31/2013, CT-03/30/2023, DC-03/30/2018, DE-10/08/2021, FL-09/17/2013, GA-05/31/2013, IA-03/24/2025, ID-11/10/2020, IL-09/17/2013, IN-05/31/2013, KS-03/31/2022, KY-05/31/2013, LA-05/31/2013, MD-05/31/2013, MI-05/31/2013, MN-03/24/2025, MO-05/31/2013, MS-05/31/2013, NC-05/31/2013, NE-06/30/2016, NH-03/31/2017, NJ-09/26/2013, NV-03/31/2022, NY-09/16/2013, OH-05/31/2013, OK-09/26/2013, PA-05/31/2013, SC-05/31/2013, SD-11/15/2016, TN-05/31/2013, TX-05/31/2013, UT-10/08/2021, VA-05/31/2013, WA-05/31/2013, WI-05/31/2013, WY-03/29/2024 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV