DFX Intelligence

N••• P••••• • C••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

N••• P••••• • C••••••• I•••

CRD 121180

MOBILE, AL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Mar 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Mar 23, 2012 to Mar 31, 2025
19 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: $160M••• Locked
Discretionary RAUM: $10.1M
Private client RAUM: $136Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• N•••••• D•••••••• I••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	02/1997	Mar 23, 2012	Mar 27, 2024

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	2	-2	n/a	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
2024	$160M	$149M	7.8%	$160M	0.1%	2	2	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•••••• I••••••••• M••••••••• I•••	2	Feb 18, 2026	Jan 5, 2026	MOBILE, AL	Team lift out	RIA to RIA	100.0%

Relationships

Registered with (2)

← N••••• D•••••••• I•• P•••••Advisorregistration: previous registration
Jul 1, 1999 to Feb 18, 2026factForm ADV
← D••••• K•••• O••••Advisorregistration: previous registration
Jul 31, 2017 to Feb 18, 2026factForm ADV

Moved with (1)

→ L•••••• I••••••••• M••••••••• I•••Registered adviser2 advisors, team lift out, same day
Feb 18, 2026 to Jan 5, 2026factForm ADV

Controls (1)

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
18 Feb 2026
Advisor changed firm2 events
N••• P••••• • C••••••• I•••: advisor changed firm, 2 counterparties, on 18 Feb 2026
- ••• Locked
- ••• Locked
Occurred
18 Feb 2026
Team lift-out
••• Locked
Form ADV
2 advisors

Show 1 bookkeeping event

Occurred
Mar 2, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 23, 2012
Last observed: Mar 31, 2025 18 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 11, 2015	$139M	$6.2M	3	2	n/a	n/a	n/a
2013	Mar 21, 2014	$137M	$5.8M	2	1	n/a	n/a	n/a
2012	Mar 18, 2013	$121M	$5.9M	2	1	n/a	n/a	n/a
2011	Mar 23, 2012	$113M	$5.6M	n/a	n/a	n/a	n/a	n/a