DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

AULL & MONROE

AULL & MONROE INVESTMENT MANAGEMENT CORP, CRD 104830

MOBILE, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:237808e8-0040-0d71-0fd3-bb2989564e43

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 23, 2026
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.89 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $323MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $323M
Private client RAUM: $289MderivedItem 5.D individuals plus high net worth individuals
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $53.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 417
Individual clients: 121
High net worth clients: 59
Custody, client assets: $95.6M
SEC number: 801-35841
CIK: 1387615
CRD: 104830
Filings on the tape: 27
First filed: Mar 30, 2012
Latest filed: Mar 23, 2026
Organised: Corporation, AL

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
WILLIAM EARL MONROE	n/a	MOBILE, AL	34	36	n/a	no
JAMES PAUL AULL	n/a	MOBILE, AL	34	36	n/a	no
JAMIE LYNN THUSS	Certified Financial Planner	MOBILE, AL	28	28	n/a	no
CHARLES DARREN THUSS	n/a	MOBILE, AL	14	15	n/a	no
Jenny Lynn Thomas	n/a	MOBILE, AL	0	14	n/a	no
Daniel Richard Harvey	n/a	MOBILE, AL	0	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AULL, JAMES, PAUL	Partner	C	yes	01/1990	Mar 30, 2012	Aug 22, 2024
MONROE, WILLIAM, EARL	Partner	C	yes	01/1990	Mar 30, 2012	Aug 22, 2024
THUSS, JAMIE, LYNN	PARTNER/CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	B	yes	09/2004	Mar 30, 2012	Aug 22, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 23, 2026	$323M	$323M	5	1	0	n/a	n/a
2024	Mar 25, 2025	$329M	$329M	3	1	0	n/a	n/a
2023	Mar 13, 2024	$330M	$330M	5	1	0	n/a	n/a
2022	Mar 23, 2023	$324M	$324M	4	2	0	n/a	n/a
2021	Mar 30, 2022	$343M	$343M	4	3	0	n/a	n/a
2020	Mar 24, 2021	$298M	$298M	4	3	0	n/a	n/a
2019	Mar 31, 2020	$280M	$280M	4	3	0	n/a	n/a
2018	Mar 28, 2019	$280M	$280M	4	3	0	n/a	n/a
2017	Mar 29, 2018	$302M	$302M	4	3	0	n/a	n/a
2016	Mar 23, 2017	$276M	$276M	4	3	n/a	n/a	n/a
2015	Mar 18, 2016	$252M	$252M	4	3	n/a	n/a	n/a
2014	Mar 13, 2015	$274M	$273M	4	3	n/a	n/a	n/a
2013	Mar 26, 2014	$252M	$252M	4	3	n/a	n/a	n/a
2012	Mar 26, 2013	$211M	$211M	4	3	n/a	n/a	n/a
2011	Mar 30, 2012	$208M	$208M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$323M	$329M	-1.8%	$324M	-0.1%	5	3	0	0

Relationships

Registered with (6)

← Daniel Richard HarveyAdvisorregistration: current employment
Jul 27, 2026 to presentfactForm ADV
← Jenny Lynn ThomasAdvisorregistration: current employment
Jun 24, 2026 to presentfactForm ADV
← CHARLES DARREN THUSSAdvisorregistration: current employment
Feb 6, 2012 to presentfactForm ADV
← JAMIE LYNN THUSSAdvisorregistration: current employment
Nov 17, 1997 to presentfactForm ADV
← WILLIAM EARL MONROEAdvisorregistration: current employment
Jun 8, 1992 to presentfactForm ADV
← JAMES PAUL AULLAdvisorregistration: current employment
Jun 8, 1992 to presentfactForm ADV

Controls (3)

← MONROE, WILLIAM, EARLOwnerPARTNER, ownership code C, individual
Mar 30, 2012 to Aug 22, 2024factForm ADV
← AULL, JAMES, PAULOwnerPARTNER, ownership code C, individual
Mar 30, 2012 to Aug 22, 2024factForm ADV
← THUSS, JAMIE, LYNNOwnerPARTNER/CHIEF COMPLIANCE OFFICER/VICE PRESIDENT, ownership code B, individual
Mar 30, 2012 to Aug 22, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:237808e8-0040-0d71-0fd3-bb2989564e43
First observed: Mar 30, 2012
Last observed: Mar 23, 2026 6 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.

AULL & MONROE

AULL & MONROE INVESTMENT MANAGEMENT CORP, CRD 104830

MOBILE, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:237808e8-0040-0d71-0fd3-bb2989564e43

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WILLIAM EARL MONROE

n/a

MOBILE, AL

n/a

JAMES PAUL AULL

n/a

MOBILE, AL

n/a

JAMIE LYNN THUSS

Certified Financial Planner

MOBILE, AL

n/a

CHARLES DARREN THUSS

n/a

MOBILE, AL

n/a

Jenny Lynn Thomas

n/a

MOBILE, AL

n/a

Daniel Richard Harvey

n/a

MOBILE, AL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AULL, JAMES, PAUL

Partner

yes

01/1990

Mar 30, 2012

Aug 22, 2024

MONROE, WILLIAM, EARL

Partner

yes

01/1990

Mar 30, 2012

Aug 22, 2024

THUSS, JAMIE, LYNN

PARTNER/CHIEF COMPLIANCE OFFICER/VICE PRESIDENT

yes

09/2004

Mar 30, 2012

Aug 22, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 23, 2026

$323M

n/a

2024

Mar 25, 2025

$329M

n/a

2023

Mar 13, 2024

$330M

n/a

2022

Mar 23, 2023

$324M

n/a

2021

Mar 30, 2022

$343M

n/a

2020

Mar 24, 2021

$298M

n/a

2019

Mar 31, 2020

$280M

n/a

2018

Mar 28, 2019

$280M

n/a

2017

Mar 29, 2018

$302M

n/a

2016

Mar 23, 2017

$276M

n/a

2015

Mar 18, 2016

$252M

n/a

2014

Mar 13, 2015

$274M

$273M

n/a

2013

Mar 26, 2014

$252M

n/a

2012

Mar 26, 2013

$211M

n/a

2011

Mar 30, 2012

$208M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$323M

$329M

-1.8%

$324M

-0.1%