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CRD 122683
BIRMINGHAM, AL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••• P••• K•••••• | Certified Financial Planner | BIRMINGHAM, AL | 26 | 51 | n/a | no |
| G••••• J••••• K•••••• | Certified Financial Planner | BIRMINGHAM, AL | 26 | 51 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••• D••••• P••• | Member | D | yes | 12/1999 | Mar 30, 2012 | Oct 29, 2024 |
| K••••••• G•••••• J••••• | Member | D | yes | 12/1999 | Mar 30, 2012 | Oct 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| K•••••• • C••• P••• | n/a | n/a | n/a | N | yes | n/a |
| K•••••• R••••••••• P••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $471M | $402M | 17.1% | $318M | 14.0% | 10 | 10 | 0 | 0 |
| no |
| M••••••• G•••••••• P••• | Certified Financial Planner | BIRMINGHAM, AL | 23 | 26 | n/a | no |
| J••••••• G••••• K•••••• | Personal Financial Specialist | BIRMINGHAM, AL | 6 | 18 | n/a | no |
| S•••••• J•• P••• | Certified Financial Planner | BIRMINGHAM, AL | 3 | 27 | 6 | no |
| C••••••• C••••• G•••• | Certified Financial Planner | BIRMINGHAM, AL | 2 | 14 | n/a | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 03/2023 |
| Mar 27, 2023 |
| Oct 29, 2024 |
| Mar 20, 2026 |
| $471M |
| $471M |
| 10 |
| 6 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $402M | $402M | 10 | 7 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $370M | $370M | 8 | 7 | 1 | n/a | n/a |
| 2022 | Mar 27, 2023 | $318M | $318M | 8 | 7 | 1 | n/a | n/a |
| 2021 | Mar 24, 2022 | $360M | $360M | 7 | 5 | 1 | n/a | n/a |
| 2020 | Mar 26, 2021 | $326M | $326M | 7 | 7 | 1 | n/a | n/a |
| 2019 | Mar 31, 2020 | $279M | $279M | 7 | 7 | 1 | n/a | n/a |
| 2018 | Apr 2, 2019 | $283M | $283M | 4 | 4 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $302M | $302M | 5 | 5 | 0 | n/a | n/a |
| 2016 | Apr 1, 2017 | $274M | $274M | 5 | 5 | n/a | n/a | n/a |
| 2015 | Mar 12, 2016 | $225M | $225M | 5 | 5 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $216M | $216M | 5 | 5 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $163M | $163M | 7 | 7 | n/a | n/a | n/a |
| 2012 | Apr 2, 2013 | $136M | $136M | 7 | 7 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $118M | $118M | n/a | n/a | n/a | n/a | n/a |