DFX Intelligence

F••••• F•••••••• R••••••••• P••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

F••••• F•••••••• R••••••••• P••• S•••••••• L••

CRD 168390

MOBILE, AL

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Search this name across graphsid dfx:ria:16b0c3ce-6a91-345a-04f1-38c6328dba0d

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 1
Observed: Jun 3, 2014 to Mar 27, 2026
13 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

F••••• F•••••••• R••••••••• P••• S•••••••• L••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $195M••• Locked
Discretionary RAUM: $195M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $65.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••• M••• T••••	n/a	MOBILE, AL	11	14	n/a	no
E••• C••••••••• D•••••••	n/a	MOBILE, AL	7	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• E•••• C•••••••••	Partner	E	yes	03/2016	Jun 3, 2014	Mar 20, 2024
D•••••••• E•••• C•••••••••	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	05/2013	Jun 3, 2014	Mar 20, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Mobile	Al	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$195M	$171M	14.1%	$102M	24.1%	4	2	0	0

Relationships

Registered with (3)

← J••• R•••••• M••••Advisorregistration: current employment
Mar 6, 2026 to presentfactForm ADV
← E••• C••••••••• D•••••••Advisorregistration: current employment
May 17, 2019 to presentfactForm ADV
← L••• M••• T••••Advisorregistration: current employment
Jun 23, 2015 to presentfactForm ADV

Controls (2)

Dated events

Occurred
Apr 28, 2022
Control person left
Cleveland Gregory Carpenter (Owner) no longer on Schedule A of F••••• F•••••••• R••••••••• P••• S•••••••• L•• (listed 2015-03-30, absent 2022-04-28)
Form ADVobserved 7 days ago
Occurred
Apr 28, 2022
First Form ADV filing
F••••• F•••••••• R••••••••• P••• S•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16b0c3ce-6a91-345a-04f1-38c6328dba0d
First observed: Jun 3, 2014
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.