DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

L•••••• I••••••••• M••••••••• I•••

CRD 107890

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 Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 47
Dated events: 8
On other graphs: 0
Observed: Mar 27, 2012 to Sep 22, 2026
36 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: independent wealth managerderivedprivate_client_share=0.7 fund_share=0.05 institutional_share=0.11 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $3.4B••• Locked
Discretionary RAUM: $3.2B
Private client RAUM: $2.4Bderived••• Locked
Private client share: 70%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 25
RAUM per advisor: $136Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• W•••• L••••••	n/a	MOBILE, AL	33	47	n/a	no
M•••••• C••• T•••	n/a	Flat Rock, NC	27	35

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• E•••••• A••••••	PRESIDENT / CEO / SHAREHOLDER / EXECUTIVE COMMITTEE	A	yes	01/2014	May 4, 2026	May 4, 2026
H••••• J••••• R•••••	SHAREHOLDER / DIRECTOR / EXECUTIVE COMMITTEE	B	yes	07/2004	May 4, 2026	May 4, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Birmingham	Al	United States	7	no
FAIRH•••	Al	United States	2	no
n/a	n/a	n/a	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
3	0	3	0.0%	0	0	0	5	0

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	$3.4B	$3.0B	14.7%	$2.1B	16.8%	36	34	7	5

Teams in

••• Locked

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

Relationships

Registered with (30)

← A•••• D•••••• H•••••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← R•••••• T•••••• L•••••••Advisorregistration: current employment
Mar 4, 2026 to presentfactForm ADV
← N••••• D•••••••• I•• P•••••Advisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← D••••• K•••• O••••

Dated events

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

Order

Occurred
4 May 2026
Ria ownership band change2 events
L•••••• I••••••••• M••••••••• I•••: ria ownership band change, 2 events, on 4 May 2026
- ••• Locked
- ••• Locked
Occurred
4 May 2026
Ria office opened
••• Locked
Form ADV
Occurred
18 Feb 2026
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
29 Mar 2023
Control person left2 events
L•••••• I••••••••• M••••••••• I•••: control person left, 2 events, on 29 Mar 2023
- ••• Locked
- ••• Locked
Occurred
10 Mar 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2012
Last observed: Sep 22, 2026 44 h 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 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• W••• T•••••••	Certified Financial Planner	Fairhope, AL	10	11	n/a	no
C••••••••• D••••• N••	n/a	MOBILE, AL	10	15	n/a	no
C•••••• R••••••• H••••	Certified Financial Planner	MOBILE, AL	7	11	n/a	no
D••••• B•••• H••••••	n/a	Birmingham, AL \| MOBILE, AL	6	10	n/a	no
E••••• B•••••• N•••••••	Chartered Financial Analyst	MOBILE, AL	4	13	n/a	no
P•••••• R••••• D•••••	n/a	MOBILE, AL \| Charlotte, NC	3	12	n/a	no
R•••••• J••• F••••••	Certified Financial Planner	Birmingham, AL	3	32	n/a	no
R••••• M••••• H•••	n/a	MOBILE, AL	2	11	n/a	no
K•••••• F••• H••••••	n/a	MOBILE, AL \| Alexander City, AL	2	31	1	no
J•••• J••••• K••••	n/a	Birmingham, AL	2	19	n/a	no
H•••• T••••• H••••	Certified Financial Planner	Birmingham, AL	1	10	1	no
N••••• D•••••••• I•• P•••••	Certified Financial Planner	Mobile, AL	0	35	2	no
D••••• K•••• O••••	n/a	Mobile, AL	0	11	1	no
R•••••• T•••••• L•••••••	n/a	Birmingham, AL	0	12	1	no
A•••• D•••••• H•••••••	n/a	Fairhope, AL	0	15	n/a	no

All 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• D•••••• B••••	Shareholder	Na	no	01/2025	May 4, 2026	May 4, 2026
N••• C••••••••• D•••••	SHAREHOLDER / DIRECTOR	Na	no	01/2022	May 4, 2026	May 4, 2026
N•••••••• E•••••• B••••••	Shareholder	Na	no	01/2025	May 4, 2026	May 4, 2026
P•••••• N•••••• D•••••••• I••	Shareholder	Na	no	01/2026	May 4, 2026	May 4, 2026
T•••• M••••••• C•••	Shareholder	B	no	12/2006	May 4, 2026	May 4, 2026
H•••• M•••• S••••••	Shareholder	B	no	12/2006	Mar 27, 2012	Oct 28, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016	$1.4B	$1.4B	27	18	n/a	n/a	n/a
2014	Mar 30, 2015	$1.4B	$1.4B	23	15	n/a	n/a	n/a
2013	Mar 25, 2014	$1.3B	$1.3B	23	15	n/a	n/a	n/a
2012	Apr 1, 2013	$1.1B	$1.1B	23	15	n/a	n/a	n/a
2011	Mar 27, 2012	$1.0B	$1.0B	n/a	n/a	n/a	n/a	n/a