DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••• • M•••••
Legal name A••• • M••••• I••••••••• M••••••••• C•••
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Feb 16, 1990
RAUM
$323M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$289M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$53.9M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$323M as of Mar 23, 2026
Mar 30, 2012$208M then
HNW client RAUM$253M as of Mar 23, 2026
Mar 29, 2018$222M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 26, 20134 then
Employees (5.A)5 as of Mar 23, 2026
Mar 26, 20134 then
Private funds: no history
RAUM -1.8% over the last fiscal year-0.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $53.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $774,990derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $95.6M, 50 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$253M78%
- Individuals$35.1M11%
- Pension and profit-sharing plans$22.4M6.9%
- Corporations and businesses$11.9M3.7%
- Charitable organizations$207,3440.1%
- Individual clients
- 121reported
- HNW clients
- 59reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 417reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.6M for 50 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• E••• M••••• | Mobile, Al | Jun 8, 1992 | 36 y | 0 |
| J•••• P••• A••• | Mobile, Al | Jun 8, 1992 | 36 y | 0 |
| J•••• L••• T••••Certified Financial Planner | Mobile, Al | Nov 17, 1997 | 28 y | 0 |
| C•••••• D••••• T•••• | Mobile, Al | Feb 6, 2012 | 15 y | 0 |
| J•••• L••• T••••• | Mobile, Al | Jun 24, 2026 | 14 y | 0 |
| D••••• R•••••• H••••• | Mobile, Al | Jul 27, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• J••••• P••• · Partnercontrolsince 01/1990 · owns 25% to 50%
- M•••••• W••••••• E••• · Partnercontrolsince 01/1990 · owns 25% to 50%
- T••••• J••••• L••• · Partner/Chief Compliance Officer/Vice Presidentcontrolsince 09/2004 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mobile, Al · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 426 to 417Aug 22, 2025 to Mar 23, 2026
- HNW clients · 63 to 59Aug 22, 2025 to Mar 23, 2026
- Individual clients · 127 to 121Aug 22, 2025 to Mar 23, 2026
- Assets in custody · $80.0M to $95.6MAug 22, 2025 to Mar 23, 2026
- Employees · 3 to 5Aug 22, 2025 to Mar 23, 2026
- Discretionary RAUM · $329M to $323MAug 22, 2025 to Mar 23, 2026
- HNW RAUM · $267M to $253MAug 22, 2025 to Mar 23, 2026
- Individual RAUM · $33.5M to $35.1MAug 22, 2025 to Mar 23, 2026
- Pension RAUM · $19.2M to $22.4MAug 22, 2025 to Mar 23, 2026
- RAUM · $329M to $323MAug 22, 2025 to Mar 23, 2026
- Financial planning clients · unset to Mar 25, 2025 to May 2, 2025
- Accounts · 454 to 426Aug 22, 2024 to Mar 25, 2025
- HNW clients · 65 to 63Aug 22, 2024 to Mar 25, 2025
- Individual clients · 122 to 127Aug 22, 2024 to Mar 25, 2025
- Pension plan clients · 14 to 10Aug 22, 2024 to Mar 25, 2025
- Assets in custody · $84.4M to $80.0MAug 22, 2024 to Mar 25, 2025
- Employees · 5 to 3Aug 22, 2024 to Mar 25, 2025
- State-registered IARs · 4 to 2Aug 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $330M to $329MAug 22, 2024 to Mar 25, 2025
- HNW RAUM · $255M to $267MAug 22, 2024 to Mar 25, 2025
- Individual RAUM · $41.0M to $33.5MAug 22, 2024 to Mar 25, 2025
- Pension RAUM · $23.7M to $19.2MAug 22, 2024 to Mar 25, 2025
- RAUM · $330M to $329MAug 22, 2024 to Mar 25, 2025
- Assets in custody · $74.5M to $84.4MMar 20, 2024 to Apr 23, 2024
- Custody of client assets · false to trueMar 13, 2024 to Mar 20, 2024
- Accounts · 429 to 454Nov 13, 2023 to Mar 13, 2024
- Advisory employees · 2 to 1Nov 13, 2023 to Mar 13, 2024
- HNW clients · 76 to 65Nov 13, 2023 to Mar 13, 2024
- Individual clients · 97 to 122Nov 13, 2023 to Mar 13, 2024
- Pension plan clients · 16 to 14Nov 13, 2023 to Mar 13, 2024
- Assets in custody · $71.8M to $74.5MNov 13, 2023 to Mar 13, 2024
- Custody of client assets · true to falseNov 13, 2023 to Mar 13, 2024
- Employees · 4 to 5Nov 13, 2023 to Mar 13, 2024
- Discretionary RAUM · $324M to $330MNov 13, 2023 to Mar 13, 2024
- HNW RAUM · $254M to $255MNov 13, 2023 to Mar 13, 2024
- Individual RAUM · $27.5M to $41.0MNov 13, 2023 to Mar 13, 2024
- Pension RAUM · $31.2M to $23.7MNov 13, 2023 to Mar 13, 2024
- RAUM · $324M to $330MNov 13, 2023 to Mar 13, 2024
- Accounts · 425 to 429Mar 30, 2022 to Mar 23, 2023
- Advisory employees · 3 to 2Mar 30, 2022 to Mar 23, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 251-342-3339reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••M•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (251) 342-3339reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- AULLMONROE.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $53.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026