DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

V••••• V•••• P••••••• L••

CRD 151190

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:76d7c3d7-3db2-f481-c6d3-fae8359f1fc6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 18
On other graphs: 2
Observed: Mar 29, 2012 to Sep 15, 2026
46 observations

Across DFX

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

Private Equityidentity

V••••• V•••• P••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

V••••• V•••• P••••••• L••

Capital provider to sponsors · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.08 fund_share=0.45 institutional_share=0.44 related_bd= related_bank= bd_reps=9.0
Regulatory AUM: $6.1B••• Locked
Discretionary RAUM: $6.1B
Private client RAUM: $502Mderived••• Locked
Private client share: 8%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $760Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• T••••• F•••••••••	Chartered Financial Analyst	BIRMINGHAM, AL	16	31	n/a	no
S•••••• W••••• S••••••	Chartered Financial Analyst	BIRMINGHAM, AL	12	28

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
V•• F•••• F•••• L••	Other Private Fund	$31.0M	Sep 15, 2026	18	Mar 30, 2021	reported	021-370683
O••• I• L••	Private Equity Fund	$17.2M	Mar 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• R••••••• S••••	CHIEF FINANCIAL OFFICER/MEMBER	A	yes	12/2013	Mar 20, 2014	Mar 29, 2024
D•••••• M•••••••• D••••••••	DIRECTOR OF RESEARCH/ MEMBER	Na	yes	01/2014	Mar 26, 2015	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••••• E••••• H•••••••• L••	n/a	n/a	n/a	Y	yes	n/a

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	0	2

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	$6.1B	$7.9B	-22.8%	$8.1B	-9.1%	38	42	0	0

Relationships

Registered with (11)

← M••••••• J•••••• B••••••Advisorregistration: current employment
Feb 11, 2026 to presentfactForm ADV
← C••••••••• W•••••• P•••••Advisorregistration: current employment
Aug 25, 2023 to presentfactForm ADV
← J•••• A••••• M•••Advisorregistration: current employment
Aug 26, 2022 to presentfactForm ADV
← T••••• J•••• C••••

Dated events

Occurred
Sep 15, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-124M
Occurred
Sep 15, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Sep 15, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Sep 15, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76d7c3d7-3db2-f481-c6d3-fae8359f1fc6
First observed: Mar 29, 2012
Last observed: Sep 15, 2026 8 days 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.