DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

J•••••• S•••••••• I•••

CRD 106379

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:6d6fdd06-f40e-84f7-9321-bd4851b9eac1

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 1
Observed: Apr 2, 2012 to Mar 31, 2026
18 observations

Across DFX

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

Allocatorsidentity

J•••••• S•••••••• I•••

Investment consultant · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.13 fund_share=0.0 institutional_share=0.87 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.9B••• Locked
Discretionary RAUM: $530M
Private client RAUM: $497Mderived••• Locked
Private client share: 13%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $650Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• P••• J••••••	n/a	BIRMINGHAM, AL	30	50	1	no
E•••••••• L•• R•••••••••	n/a	BIRMINGHAM, AL	30	37

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••••• S•••••• P•••	Chairman	C	yes	02/1989	Apr 2, 2012	Mar 28, 2024
R••••••••• E••••••••• L••	PRESIDENT, CEO & CHIEF COMPLIANCE OFFICER	D	yes	09/1997	Apr 2, 2012	Mar 28, 2024

Offices

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

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

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	1	1

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	$3.9B	$3.3B	16.9%	$2.6B	14.4%	10	11	1	1

Relationships

Registered with (11)

← J•• B••• S••••Advisorregistration: current employment
May 31, 2024 to presentfactForm ADV
← W•••••• B•••• J••••••Advisorregistration: current employment
Mar 24, 2022 to presentfactForm ADV
← B•••• L•• B••••Advisorregistration: current employment
Jun 6, 2018 to presentfactForm ADV
← C••••••••• R••• W••••••

Dated events

Occurred
Apr 29, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d6fdd06-f40e-84f7-9321-bd4851b9eac1
First observed: Apr 2, 2012
Last observed: Mar 31, 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.