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E•••••• W•••••• 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

E•••••• W•••••• L••

CRD 282538

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:b82a92b2-ed21-216f-7735-a5e73245e076

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 5
On other graphs: 0
Observed: Jan 15, 2016 to Mar 30, 2021
10 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: $62.8MItem 5.F on the latest filing (2021-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $62.8M
Private client RAUM: $59.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• S•••••• C•••	SECRETARY/TREASURER	Na	yes	01/2016	Jan 15, 2016	Mar 30, 2021
C••• J•••• B••••	CHIEF INVESTMENT OFFICER	Na	yes	03/2019	Mar 29, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••• A•••••• A•••• M••••••••• L••	n/a	Independent wealth	$30B	Y	yes	n/a
K•••••••• L••	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Birmingham	Al	United States	14	no
Pensacola	FL	United States	4	no
Huntsville	Al	United States	2	no
Montgomery	Al	United States	1	no
Tampa	FL

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$62.8M	$50.8M	23.5%	$32.8M	24.1%	2	2	6	6

Relationships

Affiliated with (1)

→ WAVERLY ADVISORS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (11)

← W••••• A•••••• A•••• M••••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Jan 15, 2016 to presentfactForm ADV
← N••••••• M••••••• L•••••OwnerVICE PRESIDENT, ownership code NA, individual
Jan 15, 2016 to presentfactForm ADV
← E••••••• M•••• F•••••Owner

Dated events

Occurred
Jan 18, 2022
Advisor departed, no destination yet
Aaron Michael Nelson no longer registered at E•••••• W•••••• L••; no later IA registration on IAPD
Form ADVobserved 7 days ago
Occurred
Mar 29, 2019
Control person joined
Brown John Cox (Chief Investment Officer) appeared on Schedule A of E•••••• W•••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 29, 2019
Control person joined
Wright Andrea Johnson (Chief Compliance Officer) appeared on Schedule A of E•••••• W•••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b82a92b2-ed21-216f-7735-a5e73245e076
First observed: Jan 15, 2016
Last observed: Mar 30, 2021 66 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.