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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SEC-registered adviser
B•••••••• I••••••••• I•••
Latest filing Jun 5, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Dec 16, 1999
RAUM
$281M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
17%
$47.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$281M as of Jun 5, 2026
Mar 30, 2012$124M then
HNW client RAUM$47.7M as of Jun 5, 2026
Mar 23, 2018$36.5M then
State-registered IARs (5.B.3)2 as of Jun 5, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Jun 5, 2026
Apr 2, 20135 then
Private funds7 as of Jun 5, 2026
Mar 30, 201214 then
RAUM -30% over the last fiscal year+4.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 5, 2026; every figure names its basis
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $8.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.5%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
- -30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $259M, 8 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$223M79%
- High-net-worth individuals$47.7M17%
- Pension and profit-sharing plans$7.0M2.5%
- Corporations and businesses$4.2M1.5%
- Individual clients
- 0reported
- HNW clients
- 20reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 33reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $259M for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.17 fund_share=0.79 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R••••• T•••••• | Birmingham, Al | Mar 8, 2000 | 33 y | 0 |
| J•••• E••••• A••••• L•••••Chartered Financial Analyst | Birmingham, Al | Mar 15, 2024 | 10 y | 1 |
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
- L•••• K•••••• to C•••••••• F•••••••• G•••• A•••••••Dec 31, 2018 · RIA to affiliated broker-dealer or bank
- H••••• N••••• G••••• to L••••• F••••••••• I•••Jul 21, 2009 · Other
Joined, latest
- J•••• E••••• A••••• L••••• from V••••• V•••• P••••••• L••Mar 15, 2024 · Other
- L•••• K•••••• from S••••• A••• A•••• M••••••••• I•••Jan 11, 2013 · Other
Private funds
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• O•• V••••••• •••• B•• L•• | Venture Capital Fund | $139M | 71 | Sep 24, 2013 |
| B•••••••• V•••• I••••••••• F•••• L•• | Other Private Fund | $51.3M | 38 | Mar 30, 2012 |
| C••• O•• V••••••• F••• A• L•• | Venture Capital Fund | $37.8M | 50 | Apr 2, 2013 |
| B•••••••• S••• L•• | Private Equity Fund | $27.9M | 94 | Mar 30, 2020 |
| C••• O•• V••••••• F••• D• | Venture Capital Fund | $20.8M | 18 | Mar 23, 2018 |
| B•••••••• S•••••• S••••••••• F•••• L•• | Private Equity Fund | $8.2M | 24 | Mar 28, 2014 |
| C••• O•• V••••••• •••• C• | Venture Capital Fund | $5.0M | 37 | Mar 23, 2016 |
| C•• B••••••••• F••• I• L•• | Private Equity Fund | $254,781 | 66 | Mar 30, 2012 |
| C•• B••••••••• F••• I•• L•• | Private Equity Fund | $237,509 | 59 | Mar 30, 2012 |
| C••••• P••••••••• L•• | Private Equity Fund | $38,459 | 43 | Mar 30, 2012 |
| C•••••• S••••••••• A••••••• F••• I• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| B•••••••• T••••• I••••••••• F•••• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| B•••••••• Z••••••• I••••••••• F••• I•• L••no longer reported | Private Equity Fund | $0 | 12 | Mar 30, 2012 |
| B•••••••• T••••• I••••••••• F••• I•• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| B•••••••• P••• A•••• F••• I•• L••no longer reported | Other Private Fund | $0 | 8 | Mar 30, 2012 |
| B•••••••• Z••••••• I••••••••• F•••• L••no longer reported | Private Equity Fund | $0 | 34 | Mar 30, 2012 |
| B•••••••• P••• A•••• F••• I• L••no longer reported | Other Private Fund | $0 | 16 | Mar 30, 2012 |
| B•••••••• C••••••• I••••••••• F•••• L••no longer reported | Private Equity Fund | $0 | 38 | Mar 30, 2012 |
| C•••••• S••••••••• A••••••• F••• I•• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| B•••••••• A•• I••••••••• F•••• L••no longer reported | Private Equity Fund | $0 | 36 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- T••••••• J••••• R••••• · President, Director, Chief Compliance Officercontrolsince 10/1999 · owns less than 5%
- T••••••• J••••• R••••• · Ownercontrolsince 01/2009 · owns 75% or more of B•••••••• F•••••••• P•••••••• I•••
- C•••• S••••• E•••••••• · Chief Financial Officersince 06/2015 · owns less than 5%
- L•••••• J••••• E••••• A••••• · Managing Directorsince 02/2024 · owns less than 5%
Entity owners
- B•••••••• F•••••••• P•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- J• R••••• T••••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 1, 2026discretionary share of RAUM moved from 1.0% to 98.0% between the annual amendments of 2025-03-27 and 2026-04-01peers: other advisers, $100M to $500M (212)
- RAUM down 25 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $402,561,729 to $281,468,586 (-30.0%) between the annual amendments of 2025-03-27 and 2026-04-01; the peer median change was +8.0% (161 comparable advisers, 8.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 7.5% percentile
What changed
consecutive filings, newest first
- Assets in custody · $385M to $259MNov 12, 2025 to Apr 1, 2026
- Discretionary RAUM · $5.9M to $275MNov 12, 2025 to Apr 1, 2026
- HNW RAUM · $44.8M to $47.7MNov 12, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $397M to $6.9MNov 12, 2025 to Apr 1, 2026
- Pension RAUM · $5.9M to $7.0MNov 12, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $348M to $223MNov 12, 2025 to Apr 1, 2026
- RAUM · $403M to $281MNov 12, 2025 to Apr 1, 2026
- Assets in custody · $316M to $385MJun 21, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $327M to $5.9MJun 21, 2024 to Mar 27, 2025
- HNW RAUM · $33.7M to $44.8MJun 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $5.3M to $397MJun 21, 2024 to Mar 27, 2025
- Pension RAUM · $5.4M to $5.9MJun 21, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $290M to $348MJun 21, 2024 to Mar 27, 2025
- RAUM · $332M to $403MJun 21, 2024 to Mar 27, 2025
- BD registered reps · 1 to 2Mar 22, 2024 to Jun 21, 2024
- Assets in custody · $315M to $316MMar 22, 2024 to Jun 21, 2024
- Discretionary RAUM · $326M to $327MMar 22, 2024 to Jun 21, 2024
- Pooled vehicle RAUM · $290M to $290MMar 22, 2024 to Jun 21, 2024
- RAUM · $332M to $332MMar 22, 2024 to Jun 21, 2024
- Accounts · 41 to 33Feb 22, 2024 to Mar 22, 2024
- Advisory employees · 1 to 2Feb 22, 2024 to Mar 22, 2024
- Corporate clients · 5 to 3Feb 22, 2024 to Mar 22, 2024
- HNW clients · 21 to 20Feb 22, 2024 to Mar 22, 2024
- Pooled vehicle clients · 12 to 7Feb 22, 2024 to Mar 22, 2024
- Assets in custody · $256M to $315MFeb 22, 2024 to Mar 22, 2024
- Employees · 2 to 3Feb 22, 2024 to Mar 22, 2024
- State-registered IARs · 1 to 2Feb 22, 2024 to Mar 22, 2024
- Private funds · 10 to 7Feb 22, 2024 to Mar 22, 2024
- Discretionary RAUM · $266M to $326MFeb 22, 2024 to Mar 22, 2024
- HNW RAUM · $29.0M to $33.7MFeb 22, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $4.7M to $5.3MFeb 22, 2024 to Mar 22, 2024
- Pension RAUM · $4.8M to $5.4MFeb 22, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $235M to $290MFeb 22, 2024 to Mar 22, 2024
- RAUM · $271M to $332MFeb 22, 2024 to Mar 22, 2024
- Advisory employees · 2 to 1Sep 20, 2023 to Feb 22, 2024
- BD registered reps · 2 to 1Sep 20, 2023 to Feb 22, 2024
- State-registered IARs · 2 to 1Sep 20, 2023 to Feb 22, 2024
- Assets in custody · $230M to $256MMar 24, 2023 to Sep 20, 2023
- Discretionary RAUM · $241M to $266MMar 24, 2023 to Sep 20, 2023
Signals
3 dated events
- B•••••••• I••••••••• I••• reported RAUM $281.5M, down 30% from $402.6M (2025-11-12 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- Madding King (Managing Director) no longer on Schedule A of B•••••••• I••••••••• I••• (listed 2023-09-20, absent 2024-02-22)Feb 22, 2024 · Control person left · inference
- Payne L•••• K•••••• (Chief Compliance Officer) no longer on Schedule A of B•••••••• I••••••••• I••• (listed 2018-12-03, absent 2019-03-23)Mar 23, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- B•••••••• I••••••••• I••• · Independent Sponsorsshared crd · capital_provider
- B•••••••• I••••••••• I••• · Private Equityshared crd · organization
- B•••••••• I••••••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C•••-ONE-VENTURES-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C•••ONEVENTURES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 205-263-2332reportedpublic record, Form ADV, Jun 5, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026