DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

T••••• R•••• L••

CRD 298184

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:5d3afbc9-b214-f67f-429c-73b4c907f5b2

Data as of Dec 19, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 19, 2018 to Dec 19, 2018
7 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $9.8M••• Locked
Discretionary RAUM: $9.8M
Private client RAUM: $2.9Mderived••• Locked
Private client share: 30%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $4.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• D• C•••••••	Personal Financial Specialist	Birmingham, AL	7	37	2	no
G••••• C•••• C•••••••	Personal Financial Specialist	BIRMINGHAM, AL	2	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• J••••• D•	MANAGING PRINCIPAL/ MEMBER/ CHIEF COMPLIANCE OFFICER	E	yes	07/2018	Jul 19, 2018	Dec 19, 2018

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	0	0	0.0%	0	0	0	0	0

Relationships

Registered with (2)

← G••••• C•••• C•••••••Advisorregistration: current employment
Jun 19, 2024 to presentfactForm ADV
← J•••• D• C•••••••Advisorregistration: previous registration
Aug 17, 2018 to Dec 21, 2018factForm ADV

Controls (1)

← C•••••••• J••••• D•OwnerMANAGING PRINCIPAL/ MEMBER/ CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jul 19, 2018 to presentfactForm ADV

Dated events

Occurred
Jul 19, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d3afbc9-b214-f67f-429c-73b4c907f5b2
First observed: Jul 19, 2018
Last observed: Dec 19, 2018 94 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.