DFX Intelligence

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

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

S••••• A••• A•••• M••••••••• I•••

CRD 130888

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:7e88b34a-04fe-dfff-6246-f8b26014aab8

Data as of Jun 5, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 328
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2012 to Jun 5, 2017
18 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: $10.4M••• Locked
Discretionary RAUM: $10.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J•••• F••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2011	Jan 3, 2012	Jun 5, 2017
D••••••• W••••••• J•••	Director	Na	yes	08/2016	Sep 1, 2016	Jun 5, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S• S•••• I••••••••• A••••••• I•••	n/a	Bd affiliated wealth	$5.1B	N	yes	n/a
S••••• A••• C••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Birmingham	Al	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$10.4M	$694M	-98.5%	$2.0B	-82.7%	8	118	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• A••••••• I•••	6	Jul 5, 2016	Jul 5, 2016	BIRMINGHAM, AL	Firm absorbed	Other	66.7%
P••••••• F•••••••• S•••••••• I•••	2	Jan 26, 2016	Feb 1, 2016

Relationships

showing 80 of 328

Affiliated with (2)

→ S••••• A••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← S••••• A••• A•••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (10)

← W•••••••• C•••••• F•••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 28, 2015 to presentfactForm ADV
← C••••••• J•••• F••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e88b34a-04fe-dfff-6246-f8b26014aab8
First observed: Jan 3, 2012
Last observed: Jun 5, 2017 113 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.