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C•••••••• F•••••••• S••••••••• 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

C•••••••• F•••••••• S••••••••• I•••

CRD 155572

IRONDALE, AL

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Search this name across graphsid dfx:ria:e33e8e78-d9a5-60b9-8bb4-9f1b83be6d86

Data as of Oct 30, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2011 to Oct 30, 2013
11 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: $69.8MItem 5.F on the latest filing (2013-10-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $63.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%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
B••••••••• P••••••• A•••	Director	Na	yes	11/2011	Dec 8, 2011	Oct 30, 2013
C•••• T••• M•••••	Director	Na	yes	12/2005	Nov 7, 2011

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
C•••••••• A•••••• C••••• U••••	n/a	n/a	n/a	Y	yes	n/a

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
2012	$69.8M	$225M	-69.0%	n/a	n/a	3	n/a	n/a	n/a

Relationships

Controls (7)

← S•••• S••••••• S••••••OwnerVICE PRESIDENT, ownership code NA, individual
Jun 19, 2013 to presentfactForm ADV
← F••••• D••••• A•••OwnerPRESIDENT & CEO, ownership code NA, individual
Jun 19, 2013 to presentfactForm ADV
← B••••••••• P••••••• A•••OwnerDIRECTOR, ownership code NA, individual
Dec 8, 2011 to presentfactForm ADV
← C•••• T••• M•••••OwnerDIRECTOR, ownership code NA, individual
Nov 7, 2011 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e33e8e78-d9a5-60b9-8bb4-9f1b83be6d86
First observed: Nov 7, 2011
Last observed: Oct 30, 2013 157 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.