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

S•••••• F•••••••• G••••• I•••

Former SEC-registered adviserBirmingham, AlabamaCRD 109586SEC 801-96209IAPD
Latest filing Jun 10, 2020
First filing on the tape Mar 15, 2012 · 12 filings
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$98.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$139M as of Mar 30, 2020
Mar 15, 2012$70.0M then
HNW client RAUM$93.0M as of Mar 30, 2020
Mar 27, 2018$76.0M then
State-registered IARs (5.B.3)4 as of Mar 30, 2020
Feb 16, 20163 then
Employees (5.A)6 as of Mar 30, 2020
Feb 16, 20165 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jun 10, 2020; every figure names its basis
RAUM per advisor
$34.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$620,000derivedHNW RAUM over HNW clients
Average account
$213,846derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-19%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$7.5M, 4 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • 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$93.0M82%
  • Pension and profit-sharing plans$12.0M11%
  • Individuals$5.0M4.4%
  • Charitable organizations$3.0M2.7%
Individual clients
40reported
HNW clients
150reported
Pension plan clients
9reported
Charitable clients
1reported
Accounts
650reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$7.5M for 4 clientsreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Teams: two or more advisors moving together within fourteen days, from one state
        Teams outTeams in
        Private funds
        No private fund reported.
        Owners and control persons
        Schedule A and B, latest filing
        • S••••••• H••••• B•••• · President/Chief Compliance Officercontrol
          since 05/1988 · owns 25% to 50%
        • S••••••• J•••• W••••• · Vice Presidentcontrol
          since 05/1988 · owns 25% to 50%
        • S••••••• J•••• A••••• · Co-Owner
          since 08/2018 · owns 5% to 10%
        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 · 285 to 650
          Feb 27, 2019 to Mar 30, 2020
        • Advisory employees · 5 to 4
          Feb 27, 2019 to Mar 30, 2020
        • Charity clients · unset to 1.0
          Feb 27, 2019 to Mar 30, 2020
        • HNW clients · 185 to 150
          Feb 27, 2019 to Mar 30, 2020
        • Individual clients · 51 to 40
          Feb 27, 2019 to Mar 30, 2020
        • Pension plan clients · 18 to 9
          Feb 27, 2019 to Mar 30, 2020
        • Assets in custody · unset to 7500000.0
          Feb 27, 2019 to Mar 30, 2020
        • Custody of client assets · false to true
          Feb 27, 2019 to Mar 30, 2020
        • Employees · 8 to 6
          Feb 27, 2019 to Mar 30, 2020
        • Financial planning clients · 0 to 11-25
          Feb 27, 2019 to Mar 30, 2020
        • State-registered IARs · 5 to 4
          Feb 27, 2019 to Mar 30, 2020
        • Discretionary RAUM · $124M to $139M
          Feb 27, 2019 to Mar 30, 2020
        • HNW RAUM · $86.0M to $93.0M
          Feb 27, 2019 to Mar 30, 2020
        • Individual RAUM · $3.7M to $5.0M
          Feb 27, 2019 to Mar 30, 2020
        • Pension RAUM · $10.0M to $12.0M
          Feb 27, 2019 to Mar 30, 2020
        • RAUM · $124M to $139M
          Feb 27, 2019 to Mar 30, 2020
        • Accounts · 470 to 285
          Jun 22, 2018 to Feb 27, 2019
        • Advisory employees · 4 to 5
          Jun 22, 2018 to Feb 27, 2019
        • HNW clients · 178 to 185
          Jun 22, 2018 to Feb 27, 2019
        • Individual clients · 66 to 51
          Jun 22, 2018 to Feb 27, 2019
        • Pension plan clients · 10 to 18
          Jun 22, 2018 to Feb 27, 2019
        • Employees · 6 to 8
          Jun 22, 2018 to Feb 27, 2019
        • Financial planning clients · 1-10 to 0
          Jun 22, 2018 to Feb 27, 2019
        • State-registered IARs · 4 to 5
          Jun 22, 2018 to Feb 27, 2019
        • Discretionary RAUM · $109M to $124M
          Jun 22, 2018 to Feb 27, 2019
        • HNW RAUM · $76.0M to $86.0M
          Jun 22, 2018 to Feb 27, 2019
        • Pension RAUM · $11.0M to $10.0M
          Jun 22, 2018 to Feb 27, 2019
        • RAUM · $109M to $124M
          Jun 22, 2018 to Feb 27, 2019
        • Accounts · 468 to 470
          Sep 20, 2017 to Mar 27, 2018
        • Advisory employees · 3 to 4
          Sep 20, 2017 to Mar 27, 2018
        • HNW clients · unset to 178.0
          Sep 20, 2017 to Mar 27, 2018
        • Individual clients · unset to 66.0
          Sep 20, 2017 to Mar 27, 2018
        • Pension plan clients · unset to 10.0
          Sep 20, 2017 to Mar 27, 2018
        • State-registered IARs · 3 to 4
          Sep 20, 2017 to Mar 27, 2018
        • Other offices · unset to 0.0
          Sep 20, 2017 to Mar 27, 2018
        • Discretionary RAUM · $103M to $109M
          Sep 20, 2017 to Mar 27, 2018
        • HNW RAUM · unset to 76050000.0
          Sep 20, 2017 to Mar 27, 2018
        • Individual RAUM · unset to 3700000.0
          Sep 20, 2017 to Mar 27, 2018
        • Pension RAUM · unset to 11000000.0
          Sep 20, 2017 to Mar 27, 2018
        • RAUM · $103M to $109M
          Sep 20, 2017 to Mar 27, 2018
        Signals
        1 dated events
        • S•••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)
          Apr 21, 2015 · First SEC registration · 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