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CRD 335388
BIRMINGHAM, AL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ROBERT CHARLES MAUND | Certified Financial Planner | Charlotte, NC | BIRMINGHAM, AL | 1 | 27 | 5 | no |
| JOHN BYRD NORRIS | n/a | BIRMINGHAM, AL | 1 | 30 | 1 | no |
| WILLIAM MCDOWELL FRASIER | Certified Financial Planner | Brentwood, TN | Charlotte, NC | BIRMINGHAM, AL | 1 | 21 | 4 | no |
| ASHLEY SUMMERS TABB | Certified Financial Planner | BIRMINGHAM, AL | 1 | 20 | 5 | no |
| Tyler Cofield Busby | Certified Financial Planner | BIRMINGHAM, AL | 1 | 12 | 1 | no |
| MATTHEW Craig SATTERFIELD | Certified Financial Planner | BIRMINGHAM, AL | 1 | 10 | n/a | no |
| Christopher Cooper | n/a | BIRMINGHAM, AL | 1 | 12 | n/a | no |
| William Alexander | n/a | BIRMINGHAM, AL | 1 | 11 | 1 | no |
| DAVID PATRICK MCGRATH | Chartered Financial Analyst | Mobile, AL | BIRMINGHAM, AL | Charlotte, NC | Brentwood, TN | 1 | 30 | 1 | no |
| SARA JEAN MILDRED VEATCH | Certified Financial Planner | Charlotte, NC | BIRMINGHAM, AL | 1 | 17 | 3 | no |
| Scott Robinson | n/a | Brentwood, TN | BIRMINGHAM, AL | 1 | 10 | 1 | no |
| John Thomas Hensley | Certified Financial Planner | Mobile, AL | BIRMINGHAM, AL | 1 | 11 | n/a | no |
| LEE KIRKLAND BANKS | n/a | BIRMINGHAM, AL | Mobile, AL | 1 | 11 | n/a | no |
| Janet Ball | n/a | BIRMINGHAM, AL | 1 | 18 | n/a | no |
| BARRON BELVIN AKINS | n/a | BIRMINGHAM, AL | Charlotte, NC | 0 | 11 | 2 | no |
| Tracy Hope Harlow | n/a | BIRMINGHAM, AL | 0 | 29 | 6 | no |
| Cooper Lee Brown | n/a | BIRMINGHAM, AL | Charlotte, NC | 0 | 13 | 1 | no |
| Kara Morgan Wingard | Certified Financial Planner | BIRMINGHAM, AL | 0 | 13 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| NORRIS, JOHN, BYRD | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | Na | yes | 04/2025 | Mar 27, 2026 | Mar 27, 2026 |
| OAKWORTH CAPITAL BANK INC | Owner | E | yes | 03/2025 | Mar 27, 2026 | Mar 27, 2026 |
| SMITH, MICHELLE, E. | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2026 | Mar 27, 2026 | Mar 27, 2026 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $846M | $846M | 20 | 19 | 3 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 2 | 1 | 11.1% | 0 | 1 | 0 | 12 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $846M | n/a | n/a | n/a | n/a | 20 | n/a | 3 | n/a |