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.
SEC-registered adviser
Leavell Investment Management, Inc.
Latest filing May 4, 2026
First filing on the tape Mar 27, 2012 · 35 filings
SEC status approved since Jul 23, 1979
RAUM
$3.4B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
70%
$2.4B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$142M
derived; firm RAUM over IAPD count
Employees
36
24 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$3.4B as of May 4, 2026
Mar 27, 2012$1.0B then
HNW client RAUM$1.9B as of May 4, 2026
Mar 29, 2018$796M then
State-registered IARs (5.B.3)24 as of May 4, 2026
Apr 1, 201315 then
Employees (5.A)36 as of May 4, 2026
Apr 1, 201323 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 22 to 24offices 5 to 6
Practice profile
derived from the filing of May 4, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $2.1B, 1,975 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B60%
- Individuals$475M15%
- Corporations and businesses$258M8.1%
- Pension and profit-sharing plans$227M7.1%
- Investment companies$185M5.8%
- Charitable organizations$133M4.2%
- Individual clients
- 2,314reported
- HNW clients
- 536reported
- Pension plan clients
- 43reported
- Charitable clients
- 22reported
- Accounts
- 3,023reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1B for 1,975 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.7 fund_share=0.05 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
25 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas Wayne Leavell | Mobile, Al | Nov 23, 1992 | 47 y | 0 |
| Michael Clay Teel | Flat Rock, Nc | Jan 11, 1999 | 35 y | 0 |
| Janet Riddle Hayes | Mobile, Al | Oct 12, 2004 | 30 y | 0 |
| Richard Eland AnthonyChartered Financial Analyst | Birmingham, Al | Feb 23, 2005 | 25 y | 2 |
| Richard Moore Stimpson | Mobile, Al | May 17, 2006 | 24 y | 0 |
| John Miles Williams | Mobile, Al | Jul 12, 2007 | 40 y | 1 |
| Tamara Davis Morton | Fairhope, Al | Nov 14, 2007 | 27 y | 0 |
| William Kelly NicrosiCertified Financial Planner | Mobile, Al | Aug 2, 2010 | 27 y | 1 |
| Eugene Andrews Grinstead | Mobile, Al | Feb 16, 2011 | 24 y | 0 |
| Kee Padgett Goostree | Mobile, Al | Mar 6, 2012 | 14 y | 0 |
| John Wade TherrellCertified Financial Planner | Fairhope, Al | Sep 26, 2015 | 11 y | 0 |
| Christopher Dalton Nix | Mobile, Al | Jul 18, 2016 | 15 y | 0 |
| Charles Robinson HanesCertified Financial Planner | Mobile, Al | Mar 4, 2019 | 11 y | 0 |
| Daniel Brady Hubbard | Birmingham, Al | Jan 7, 2020 | 10 y | 0 |
| Edward Bamford NorfleetChartered Financial Analyst | Mobile, Al | Feb 2, 2022 | 13 y | 0 |
| Patrick Reeves Duggan | Mobile, Al | Dec 2, 2022 | 12 y | 0 |
| Randall Jeff FreemanCertified Financial Planner | Birmingham, Al | Jun 16, 2023 | 32 y | 0 |
| Robert Milton Hope | Mobile, Al | Dec 12, 2023 | 11 y | 0 |
| Kenneth Fred Hubbard | Mobile, Al | Jun 3, 2024 | 31 y | 1 |
| Jason Joseph Klauk | Birmingham, Al | Sep 11, 2024 | 19 y | 0 |
| Helen Thomas HindsCertified Financial Planner | Birmingham, Al | Oct 2, 2024 | 10 y | 1 |
| Dalton Keith Owens | Mobile, Al | Jan 5, 2026 | 11 y | 1 |
| Norman Duplessis III PitmanCertified Financial Planner | Mobile, Al | Jan 5, 2026 | 35 y | 2 |
| Richard Tidwell Littrell | Birmingham, Al | Mar 4, 2026 | 12 y | 1 |
| April Delores Holloway | Fairhope, Al | Sep 15, 2026 | 15 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- William R Welden to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 10, 2023 · RIA to wirehouse
- Kimberly Armbruster Davis to Sterne Agee Asset Management, Inc.Nov 24, 2009 · Other
- Douglas Reed Mcleod to Mitchell, Mcleod, Pugh & Williams, Inc.Feb 15, 2006 · Other
- Richard Mitchell to Mitchell, Mcleod, Pugh & Williams, Inc.Feb 15, 2006 · Other
- Kyle Clarke Pugh to Mitchell, Mcleod, Pugh & Williams, Inc.Feb 15, 2006 · Other
Joined, latest
- Richard Tidwell Littrell from Oakworth Asset Management, LLCMar 4, 2026 · RIA to RIA
- Dalton Keith Owens from N.D. Pitman & Company, Inc.Jan 5, 2026 · RIA to RIA
- Norman Duplessis III Pitman from N.D. Pitman & Company, Inc.Jan 5, 2026 · RIA to RIA
- Helen Thomas Hinds from Lonetree Wealth ManagementOct 2, 2024 · Other
- Kenneth Fred Hubbard from Trustmark Investment Advisors, Inc.Jun 3, 2024 · Other
- William R Welden from Raymond James & Associates, Inc.Mar 26, 2018 · Other
- William Kelly Nicrosi from Arlington Partners LLCAug 2, 2010 · Other
- Kimberly Armbruster Davis from Amsouth Asset Management, Inc.Jul 20, 2009 · Other
- John Miles Williams from Morgan Keegan & Company, LLCJul 12, 2007 · Other
- Richard Eland Anthony from Amsouth Asset Management, Inc.Feb 23, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N.D. Pitman & Company, Inc.Feb 18, 2026 · Mobile, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H. Margaret Alves · Chief Compliance Officer / Shareholder / Secretarycontrolsince 02/2006 · owns less than 5%
- Andrews Eugene Grinstead · President / Ceo / Shareholder / Executive Committeecontrolsince 01/2014 · owns 5% to 10%
- Riddle Janet Hayes · Shareholder / Director / Executive Committeecontrolsince 07/2004 · owns 10% to 25%
- Kelly William Nicrosi · Shareholder / Executive Committee / Directorcontrolsince 07/2014 · owns 10% to 25%
- Moore Richard Stimpson · Chairman Of The Board / Shareholder / Directorcontrolsince 12/2006 · owns 10% to 25%
- Wade John Therrell · Shareholder / Director / Executive Committeecontrolsince 01/2020 · owns less than 5%
- Miles John Williams · Shareholder / Directorcontrolsince 12/2008 · owns 10% to 25%
- Eland Richard Anthony · Shareholder / Directorsince 12/2006 · owns 10% to 25%
- Jeff Randall Freeman · Chief Financial Officer / Executive Committeesince 01/2023 · owns less than 5%
- Robinson Charles Hanes · Shareholdersince 01/2024 · owns less than 5%
- Shannon Mary Hope · Shareholdersince 12/2006 · owns 10% to 25%
- Brady Daniel Hubbard · Shareholdersince 01/2025 · owns less than 5%
- Dalton Christopher Nix · Shareholder / Directorsince 01/2022 · owns less than 5%
- Bamford Edward Norfleet · Shareholdersince 01/2025 · owns less than 5%
- Duplessis III Norman Pitman · Shareholdersince 01/2026 · owns less than 5%
- Clay Michael Teel · Shareholdersince 12/2006 · 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 | 16 | 2 | 0 | ||
| Birmingham, Al | 7 | 1 | 0 | ||
| Fairhope, Al | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Birmingham, AL7 employees
- Fairhope, AL2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 4, 2026ALVES, MARGARET, H. (CHIEF COMPLIANCE OFFICER / SHAREHOLDER / SECRETARY) left Schedule A between the filings of 2024-03-25 and 2026-05-04peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 2,847 to 3,023Jan 7, 2026 to Mar 30, 2026
- Advisory employees · 22 to 24Jan 7, 2026 to Mar 30, 2026
- Charity clients · 23 to 22Jan 7, 2026 to Mar 30, 2026
- Corporate clients · 70 to 72Jan 7, 2026 to Mar 30, 2026
- HNW clients · 467 to 536Jan 7, 2026 to Mar 30, 2026
- Individual clients · 2,209 to 2,314Jan 7, 2026 to Mar 30, 2026
- Pension plan clients · 29 to 43Jan 7, 2026 to Mar 30, 2026
- Assets in custody · $1.7B to $2.1BJan 7, 2026 to Mar 30, 2026
- Employees · 34 to 36Jan 7, 2026 to Mar 30, 2026
- State-registered IARs · 22 to 24Jan 7, 2026 to Mar 30, 2026
- Other offices · 5 to 6Jan 7, 2026 to Mar 30, 2026
- Discretionary RAUM · $2.7B to $3.2BJan 7, 2026 to Mar 30, 2026
- HNW RAUM · $1.6B to $1.9BJan 7, 2026 to Mar 30, 2026
- Individual RAUM · $440M to $475MJan 7, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $251M to $231MJan 7, 2026 to Mar 30, 2026
- Pension RAUM · $114M to $227MJan 7, 2026 to Mar 30, 2026
- RAUM · $3.0B to $3.4BJan 7, 2026 to Mar 30, 2026
- Accounts · 2,543 to 2,847Jan 8, 2025 to Mar 24, 2025
- Advisory employees · 24 to 22Jan 8, 2025 to Mar 24, 2025
- Charity clients · 14 to 23Jan 8, 2025 to Mar 24, 2025
- Corporate clients · 63 to 70Jan 8, 2025 to Mar 24, 2025
- HNW clients · 398 to 467Jan 8, 2025 to Mar 24, 2025
- Individual clients · 1,994 to 2,209Jan 8, 2025 to Mar 24, 2025
- Pension plan clients · 10 to 29Jan 8, 2025 to Mar 24, 2025
- Assets in custody · $1.3B to $1.7BJan 8, 2025 to Mar 24, 2025
- Employees · 37 to 34Jan 8, 2025 to Mar 24, 2025
- Financial planning clients · 26-50 to 51-100Jan 8, 2025 to Mar 24, 2025
- State-registered IARs · 24 to 22Jan 8, 2025 to Mar 24, 2025
- Discretionary RAUM · $2.2B to $2.7BJan 8, 2025 to Mar 24, 2025
- HNW RAUM · $1.4B to $1.6BJan 8, 2025 to Mar 24, 2025
- Individual RAUM · $396M to $440MJan 8, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $296M to $251MJan 8, 2025 to Mar 24, 2025
- Pension RAUM · $19.8M to $114MJan 8, 2025 to Mar 24, 2025
- RAUM · $2.5B to $3.0BJan 8, 2025 to Mar 24, 2025
- Other offices · 4 to 5Mar 25, 2024 to Oct 28, 2024
- Advisory employees · 21 to 24Oct 28, 2024 to Oct 28, 2024
- Employees · 31 to 37Oct 28, 2024 to Oct 28, 2024
- State-registered IARs · 21 to 24Oct 28, 2024 to Oct 28, 2024
- Accounts · 2,366 to 2,543Nov 13, 2023 to Mar 25, 2024
- Advisory employees · 20 to 21Nov 13, 2023 to Mar 25, 2024
Signals
5 dated events
- April Delores Holloway registered as an investment adviser representative at Leavell Investment Management, Inc.Sep 15, 2026 · Advisor registered · fact
- 2 advisors left N.D. Pitman & Company, Inc. (Mobile, AL) for Leavell Investment Management, Inc. on the same dayFeb 18, 2026 · Team lift-out · derived
- Seale Timothy Healey (Cio / Shareholder / Director / Executive Committee) no longer on Schedule A of Leavell Investment Management, Inc. (listed 2023-01-11, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- John Michael Hofto (Cfo / Shareholder / Treasurer / Director / Executive Committee) no longer on Schedule A of Leavell Investment Management, Inc. (listed 2023-01-11, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- William R Welden left Leavell Investment Management, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-04-17)Mar 10, 2023 · Advisor changed firm · fact
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
- 205-480-5983reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 205-871-8708reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 205-879-1654reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/LEAVELL-INVESTMENT-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- LEAVELLINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 251-433-3709reportedpublic record, Form ADV, May 4, 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
- $142Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026