DFX Intelligence

S•••••••• I••••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

S•••••••• I••••••••• G••••• L••

CRD 314889

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:2da491e9-63a1-3868-f424-6c6043f68e0e

Data as of May 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 28
On other graphs: 3
Observed: May 14, 2021 to May 28, 2025
23 observations

Across DFX

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

Venture Capitalidentity

S•••••••• I••••••••• G••••• L••

Venture manager · key cik, key crd, key sfn adviser, shared cik, shared crd

Family Officesidentity

S•••••••• I••••••••• G••••• L••

Family office · key cik, key crd, key sfn adviser, shared cik, shared crd

Allocatorsidentity

S•••••••• I••••••••• G••••

Investment consultant · key cik, key crd, key sfn adviser, shared cik, shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $5.7B••• Locked
Discretionary RAUM: $4.9B
Private client RAUM: $5.0Bderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• O••••••••• F••• I• L••	Hedge Fund	$44.3M	Nov 20, 2024	74	Oct 20, 2022	reported	n/a
S•••••••• C•••• I• L••	Venture Capital Fund	$3.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• J••••• W•••••	MANAGING MEMBER	E	yes	06/2021	Jul 9, 2021	Nov 20, 2024
A••••• J••••• W•••••	CHIEF WEALTH STRATEGIST, PARTNER	Na	yes	07/2021	Jul 9, 2021	Nov 20, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Feb 24, 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
0	11	-11	n/a	0	0	0	0	11

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$5.7B	$4.6B	22.0%	$4.1B	11.6%	14	13	1	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N•••••• A•••••••	11	Dec 4, 2025	Dec 8, 2025	BIRMINGHAM, AL	Firm absorbed	RIA to ibd	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
U•• F•••••••• S••••••• I•••	6	Jul 20, 2021	Jul 9, 2021	BIRMINGHAM, AL	Team lift out	Wirehouse to new firm	0.1%

Relationships

Advises (3)

→ S•••••••• O••••••••• F••• I• L••Private fundHedge Fund, IA
Oct 20, 2022 to presentfactForm ADV
→ S•••••••• C•••• I• L••Private fundVenture Capital Fund, IA
Mar 17, 2023 to presentfactForm ADV
→ S•••••••• C•••• I•• L••Private fundVenture Capital Fund, IA
Mar 17, 2023 to presentfactForm ADV

Moved with (2)

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 4, 2025
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
11 advisors
Occurred
Dec 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2da491e9-63a1-3868-f424-6c6043f68e0e
First observed: May 14, 2021
Last observed: May 28, 2025 16 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.