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.

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Former SEC-registered adviser

A•••• M••••••••• S••••••• L••

Former SEC-registered adviserBirmingham, AlabamaCRD 108932SEC 801-55831IAPD
Latest filing Apr 7, 2021
First filing on the tape Mar 22, 2012 · 16 filings
RAUM
$190M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
30%
$56.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$190M as of Mar 31, 2021
Mar 22, 2012$99.9M then
HNW client RAUM$33.6M as of Mar 31, 2021
Mar 2, 2018$18.0M then
State-registered IARs (5.B.3)2 as of Mar 31, 2021
Mar 22, 20120 then
Employees (5.A)3 as of Mar 31, 2021
Mar 21, 20134 then
Private funds: no history
RAUM +2.9% over the last fiscal year+3.4% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Apr 7, 2021; every figure names its basis
RAUM per advisor
$95.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
103derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$570,571derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
70%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.9%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$133M70%
  • High-net-worth individuals$33.6M18%
  • Individuals$23.1M12%
Individual clients
184reported
HNW clients
22reported
Pension plan clients
33reported
Charitable clients
n/areported
Accounts
333reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••••• B••••• G••••• · Partnercontrol
      since 09/1997 · owns 50% to 75%
    • P•••••• T•••••• E••••• · Partner; Chief Compliance Officercontrol
      since 09/1997 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 396 to 333
      Aug 12, 2020 to Mar 31, 2021
    • HNW clients · 9 to 22
      Aug 12, 2020 to Mar 31, 2021
    • Individual clients · 210 to 184
      Aug 12, 2020 to Mar 31, 2021
    • Pension plan clients · 27 to 33
      Aug 12, 2020 to Mar 31, 2021
    • Employees · 2 to 3
      Aug 12, 2020 to Mar 31, 2021
    • Financial planning clients · 1-10 to 0
      Aug 12, 2020 to Mar 31, 2021
    • Discretionary RAUM · $185M to $190M
      Aug 12, 2020 to Mar 31, 2021
    • HNW RAUM · $21.8M to $33.6M
      Aug 12, 2020 to Mar 31, 2021
    • Individual RAUM · $42.9M to $23.1M
      Aug 12, 2020 to Mar 31, 2021
    • Pension RAUM · $120M to $133M
      Aug 12, 2020 to Mar 31, 2021
    • RAUM · $185M to $190M
      Aug 12, 2020 to Mar 31, 2021
    • Advisory employees · 3 to 2
      Jun 25, 2020 to Aug 12, 2020
    • Employees · 3 to 2
      Jun 25, 2020 to Aug 12, 2020
    • State-registered IARs · 3 to 2
      Jun 25, 2020 to Aug 12, 2020
    • Accounts · 390 to 396
      Mar 28, 2019 to Mar 12, 2020
    • HNW clients · 25 to 9
      Mar 28, 2019 to Mar 12, 2020
    • Individual clients · 174 to 210
      Mar 28, 2019 to Mar 12, 2020
    • Pension plan clients · 30 to 27
      Mar 28, 2019 to Mar 12, 2020
    • Employees · 4 to 3
      Mar 28, 2019 to Mar 12, 2020
    • Discretionary RAUM · $164M to $185M
      Mar 28, 2019 to Mar 12, 2020
    • HNW RAUM · $27.3M to $21.8M
      Mar 28, 2019 to Mar 12, 2020
    • Individual RAUM · $22.6M to $42.9M
      Mar 28, 2019 to Mar 12, 2020
    • Pension RAUM · $114M to $120M
      Mar 28, 2019 to Mar 12, 2020
    • RAUM · $164M to $185M
      Mar 28, 2019 to Mar 12, 2020
    • Accounts · 394 to 390
      Mar 2, 2018 to Mar 28, 2019
    • HNW clients · 12 to 25
      Mar 2, 2018 to Mar 28, 2019
    • Individual clients · 300 to 174
      Mar 2, 2018 to Mar 28, 2019
    • Pension plan clients · 41 to 30
      Mar 2, 2018 to Mar 28, 2019
    • Discretionary RAUM · $172M to $164M
      Mar 2, 2018 to Mar 28, 2019
    • HNW RAUM · $18.0M to $27.3M
      Mar 2, 2018 to Mar 28, 2019
    • Individual RAUM · $28.8M to $22.6M
      Mar 2, 2018 to Mar 28, 2019
    • Pension RAUM · $125M to $114M
      Mar 2, 2018 to Mar 28, 2019
    • RAUM · $172M to $164M
      Mar 2, 2018 to Mar 28, 2019
    • Accounts · 436 to 394
      Mar 24, 2017 to Mar 2, 2018
    • Advisory employees · 4 to 3
      Mar 24, 2017 to Mar 2, 2018
    • HNW clients · unset to 12.0
      Mar 24, 2017 to Mar 2, 2018
    • Individual clients · unset to 300.0
      Mar 24, 2017 to Mar 2, 2018
    • Pension plan clients · unset to 41.0
      Mar 24, 2017 to Mar 2, 2018
    • State-registered IARs · 4 to 3
      Mar 24, 2017 to Mar 2, 2018
    • Other offices · unset to 0.0
      Mar 24, 2017 to Mar 2, 2018
    Signals
    1 dated events
    • T••••• E••••• P••••• left A•••• M••••••••• S••••••• L•• for O•••••••• W••••• M••••••••• (registered 2021-05-07)
      Mar 31, 2022 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026