Investment Companies in Memphis

June 15, 2026

Few cities Memphis’s size carry as much weight in the investment world. The state’s second-largest city, with about 618,980 residents as of 2024 (U.S. Census Bureau), Memphis has long been a corporate and logistics hub, and its roster of money managers runs the full range, from small boutique advisers to a nationally significant asset manager that ranks among the country’s best-known value-investing houses. What ties them together is the work itself. An investment company, or investment management firm, manages money for individuals and institutions through advisory accounts, portfolios, and pooled funds: it constructs a portfolio of securities, fixes an asset allocation, chooses the individual stocks, bonds, or funds, and tracks the whole thing over time against a stated objective. That is a narrower charge than a personal financial planner’s broad budgeting and goal-setting, even where the two overlap.

Which regulator watches a given firm comes down to a single dividing line drawn by assets. An investment adviser that manages roughly $100 million or more in regulatory assets registers with the U.S. Securities and Exchange Commission; below that figure, oversight falls to the Tennessee Department of Commerce and Insurance Securities Division. The advisers themselves usually qualify by passing the Series 65, the Uniform Investment Adviser Law Examination given through FINRA, or a combination such as the Series 7 and Series 66. Should a firm also trade securities as a broker-dealer, or employ registered representatives who place those trades, FINRA enters the picture too. These categories of registration are the real test of a legitimate investment company, far more than any marketing label a firm chooses for itself.

Comparing one Memphis firm against another comes down largely to two disclosures: assets under management and how the firm charges. AUM, filed on the Form ADV that every registered adviser must submit, reflects the firm’s scale and the kind of account size it ordinarily takes on. Fees most often arrive as a percentage of managed assets, and a fiduciary adviser, legally obligated to act in the client’s best interest, must also disclose its compensation and any conflicts of interest. Two documents make this comparison practical: Form ADV Part 2, written in plain language as a brochure, and Part 3, the client relationship summary. Together they let someone weigh fee structures, account minimums, and each firm’s actual advisory services before any assets change hands.

Confirming all of this takes only a few minutes of public-records checking before money moves. The SEC’s Investment Adviser Public Disclosure (IAPD) system lays out an adviser’s registration status, AUM, and disciplinary history, and FINRA BrokerCheck covers broker-dealers and their representatives the same way. For state-level matters, the Tennessee Division of Consumer Affairs handles deceptive-practice complaints under the Tennessee Consumer Protection Act (TCA 47-18-104), while the state Securities Division answers questions about Tennessee-registered advisers. Verify the registration, study the AUM alongside the fee schedule, and ask plainly whether the firm serves as a fiduciary; those steps turn a careful selection into a confident one.

Top Investment Companies Providers in Memphis

1. Southeastern Asset Management, Inc.

Address: 5100 Poplar Avenue, Suite 2450, Memphis, TN 38137
Phone: (901) 761-2474
Website: https://southeasternasset.com
Services: investment management, portfolio management, separately managed accounts, mutual funds (Longleaf Partners), UCITS funds for non-US investors, institutional asset management
Description: Southeastern Asset Management is an employee-owned global investment management firm founded in Memphis in 1975 by O. Mason Hawkins, who serves as chairman. The firm is 100% employee-owned and serves as the investment adviser to the Longleaf Partners family of mutual funds, including the Longleaf Partners Fund, Small-Cap Fund, and Global Fund, along with UCITS funds for non-US investors and separately managed accounts. Southeastern applies a single bottom-up, value-oriented investment approach focused on protecting against permanent capital loss while seeking strong absolute returns, building concentrated portfolios of roughly 18 to 22 positions and practicing engaged, long-term ownership. As an SEC-registered adviser it files Form ADV and Form CRS, and the firm emphasizes a like-minded client base and long-term relationships built on an alignment of interests, with employees among the largest investors across the funds it manages. The headquarters is in the Clark Tower area on Poplar Avenue.

2. Duncan Williams Asset Management

Address: 5350 Poplar Avenue, Suite 600, Memphis, TN 38119
Phone: (901) 435-4250
Website: https://www.dwassetmgmt.com
Services: asset management, portfolio management, retirement plan services, institutional services, cash management, estate and education planning coordination
Description: Duncan Williams Asset Management is an SEC-registered investment advisory firm in Memphis that provides asset and portfolio management for individuals, families, small and midsize businesses, and nonprofit institutions. The firm pairs discretionary investment management with retirement plan services and institutional services for companies, nonprofits, and family businesses, and emphasizes a community-focused mission alongside its advisory work, with David Scully among its leadership. It was recognized by USA Today as a top RIA in Memphis in 2025. As a registered investment adviser, the firm files a Form ADV and its registration can be confirmed through the SEC Investment Adviser Public Disclosure system. The office is located on Poplar Avenue in East Memphis.

3. Green Square Wealth Management

Address: 999 South Shady Grove Road, Suite 105, Memphis, TN 38120
Phone: (901) 250-6700
Website: https://greensquareco.com
Services: institutional asset management, investment management, multi-family office services, wealth advisory, portfolio reporting, tax-aware planning
Description: Green Square Wealth Management is a fee-only investment adviser and multi-family office headquartered in Memphis, founded by Darrell Horn, a former Goldman Sachs senior professional, as an independent boutique focused on cash-flow oriented strategies. The firm joined Hightower Advisors in 2019 and reports managing more than $5 billion in client assets for over 100 ultra-high-net-worth families, institutions, endowments, and foundations across the United States. Its services span institutional asset management for endowments, foundations, charities, and retirement plans, along with family-office and wealth-advisory work that includes comprehensive reporting and tax planning. As a fee-only independent advisor operating as an SEC-registered investment adviser through Hightower Advisors, the firm emphasizes an objective approach to reconciling potential returns with risk. The office is on South Shady Grove Road.

Frequently Asked Questions About Investment Companies in Memphis

Q: How is an investment company different from a financial planner in Memphis?

An investment company, or investment management firm, focuses on managing a portfolio of securities and other assets on a client’s behalf, including setting asset allocation, selecting investments, and monitoring performance against an objective. A financial planner more often addresses the broader picture of budgeting, insurance, taxes, and goal setting. Many firms offer both, but the core of an investment management firm is the ongoing management of invested assets, typically measured by assets under management.

Q: Does an investment firm in Memphis register with the SEC or the state of Tennessee?

It depends on the size of the firm. An investment adviser generally registers with the U.S. Securities and Exchange Commission once it reaches roughly $100 million or more in regulatory assets under management, while smaller firms register with the Tennessee Department of Commerce and Insurance Securities Division. Broker-dealers and their representatives are regulated by FINRA. The dividing line for SEC versus state registration is the firm’s assets under management.

Q: How can I verify an investment adviser or firm in Memphis?

Any registered investment adviser firm or individual adviser can be checked through the SEC’s Investment Adviser Public Disclosure (IAPD) system, which displays registration status, assets under management, and any disciplinary history. Broker-dealers and their registered representatives can be verified through FINRA BrokerCheck. Both tools are free and worth consulting before opening an account.

Q: What is a fiduciary, and why does it matter when choosing an investment company?

A fiduciary investment adviser is legally obligated to act in the client’s best interest, which includes disclosing fees and any conflicts of interest. This standard matters because it shapes how an adviser is paid and whose interests come first when recommendations are made. Asking a firm directly whether it acts as a fiduciary, and reviewing its Form ADV, helps clarify the relationship before assets are committed.

Q: What are assets under management (AUM) and why are they a comparison point?

Assets under management is the total market value of the investments a firm oversees on behalf of clients, and it is reported on Form ADV. AUM indicates the scale of a firm and the size of accounts it typically handles, and it determines whether the firm registers with the SEC or the state. Comparing AUM alongside fee schedules and account minimums helps a prospective client gauge whether a firm fits the size and complexity of their portfolio.

Q: How do I file a complaint against an investment firm in Memphis?

Complaints about deceptive practices can be filed with the Tennessee Division of Consumer Affairs, which enforces the Tennessee Consumer Protection Act (TCA 47-18-104). Concerns about a state-registered adviser can be directed to the Tennessee Department of Commerce and Insurance Securities Division, while matters involving an SEC-registered adviser or a broker-dealer can be raised with the SEC or FINRA. Keeping account statements, the signed advisory agreement, and Form ADV disclosures supports any complaint.