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
P••••• W•••• I••••••••• A•••••••• I•••
Latest filing Apr 10, 2026
First filing on the tape Feb 8, 2012 · 36 filings
SEC status approved since May 12, 2005
RAUM
$748M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
68%
$506M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$748M as of Apr 10, 2026
Feb 8, 2012$183M then
HNW client RAUM$504M as of Apr 10, 2026
Mar 8, 2018$285M then
State-registered IARs (5.B.3)4 as of Apr 10, 2026
Feb 8, 20120 then
Employees (5.A)7 as of Apr 10, 2026
Feb 20, 20137 then
Private funds: no history
RAUM +5.1% over the last fiscal year+5.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%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, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$504M67%
- Charitable organizations$128M17%
- Pension and profit-sharing plans$98.6M13%
- Corporations and businesses$16.1M2.2%
- Individuals$1.5M0.2%
- Individual clients
- 10reported
- HNW clients
- 80reported
- Pension plan clients
- 8reported
- Charitable clients
- 12reported
- Accounts
- 329reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• H•••••• W•••• | Birmingham, Al | Sep 26, 1995 | 47 y | 0 |
| G•••••• H••• W••••Chartered Financial Analyst | Birmingham, Al | Mar 23, 2004 | 24 y | 0 |
| M•••••• C••••••••• S••••Chartered Financial Analyst | Birmingham, Al | Sep 23, 2011 | 15 y | 0 |
| R••• P••••• W••••• | Birmingham, Al | Apr 6, 2021 | 10 y | 0 |
| A•••••••• K•••••Certified Financial Planner | Birmingham, Al | Jul 10, 2026 | 13 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 headcount2 left over 36 months
Left, latest
- E••• W• K••••••• to M••••• S••••••Jul 25, 2024 · RIA to wirehouse
- M•••••• B•••• to B•• I••••••••• A•••••••Feb 13, 2024 · RIA to RIA
- M••• M•••••• L••••••••• to E••••• F•••••••• N••••••• I•••Oct 6, 2020 · RIA to RIA
- C••• J•••• G•••• to K•••••••• L••Jan 21, 2011 · Other
- B••••••• H••••• S•••••••• to 1••• I••••••••• C••••••• L••May 22, 2006 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• G••••••• H••• · President And Ccocontrolsince 07/2009 · owns less than 5%
- W••••• J••••• H•••••• · Chairman Of The Boardcontrolsince 07/2009 · owns less than 5%
- W••••• J••••• H•••••• · Stockholdercontrolsince 05/1984 · owns 75% or more of P••••• W•••• C••••••••• I•••
Entity owners
- P••••• W•••• C••••••••• I••• · Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- J•••• H• W•••• I••n
- P•••••• W•••• • C••••••• I•••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Apr 10, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-02-26, yes on the filing of 2026-04-10peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Feb 26, 2026 to Apr 10, 2026
- Accounts · 321 to 329Mar 14, 2025 to Feb 26, 2026
- Advisory employees · 6 to 5Mar 14, 2025 to Feb 26, 2026
- Corporate clients · 5 to 4Mar 14, 2025 to Feb 26, 2026
- Individual clients · 13 to 10Mar 14, 2025 to Feb 26, 2026
- Pension plan clients · 9 to 8Mar 14, 2025 to Feb 26, 2026
- Financial planning clients · 0 to 11-25Mar 14, 2025 to Feb 26, 2026
- Discretionary RAUM · $704M to $734MMar 14, 2025 to Feb 26, 2026
- HNW RAUM · $440M to $504MMar 14, 2025 to Feb 26, 2026
- Individual RAUM · $1.9M to $1.5MMar 14, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $8.1M to $13.8MMar 14, 2025 to Feb 26, 2026
- Pension RAUM · $95.3M to $98.6MMar 14, 2025 to Feb 26, 2026
- RAUM · $712M to $748MMar 14, 2025 to Feb 26, 2026
- Accounts · 311 to 321Dec 23, 2024 to Mar 14, 2025
- Advisory employees · 8 to 6Dec 23, 2024 to Mar 14, 2025
- Charity clients · 13 to 12Dec 23, 2024 to Mar 14, 2025
- HNW clients · 79 to 80Dec 23, 2024 to Mar 14, 2025
- Individual clients · 15 to 13Dec 23, 2024 to Mar 14, 2025
- Employees · 8 to 7Dec 23, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Dec 23, 2024 to Mar 14, 2025
- State-registered IARs · 7 to 4Dec 23, 2024 to Mar 14, 2025
- Discretionary RAUM · $698M to $704MDec 23, 2024 to Mar 14, 2025
- HNW RAUM · $383M to $440MDec 23, 2024 to Mar 14, 2025
- Individual RAUM · $3.7M to $1.9MDec 23, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $9.8M to $8.1MDec 23, 2024 to Mar 14, 2025
- Pension RAUM · $85.5M to $95.3MDec 23, 2024 to Mar 14, 2025
- RAUM · $707M to $712MDec 23, 2024 to Mar 14, 2025
- Accounts · 285 to 311Oct 4, 2023 to Mar 13, 2024
- Advisory employees · 9 to 8Oct 4, 2023 to Mar 13, 2024
- BD registered reps · 4 to 1Oct 4, 2023 to Mar 13, 2024
- Charity clients · 12 to 13Oct 4, 2023 to Mar 13, 2024
- Corporate clients · 4 to 5Oct 4, 2023 to Mar 13, 2024
- Individual clients · 14 to 15Oct 4, 2023 to Mar 13, 2024
- Pension plan clients · 8 to 9Oct 4, 2023 to Mar 13, 2024
- Employees · 9 to 8Oct 4, 2023 to Mar 13, 2024
- State-registered IARs · 8 to 7Oct 4, 2023 to Mar 13, 2024
- Discretionary RAUM · $638M to $698MOct 4, 2023 to Mar 13, 2024
- HNW RAUM · $337M to $383MOct 4, 2023 to Mar 13, 2024
- Individual RAUM · $3.0M to $3.7MOct 4, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $2.2M to $9.8MOct 4, 2023 to Mar 13, 2024
Signals
6 dated events
- Kennedy Charles Porter (Executive Vice President) no longer on Schedule A of P••••• W•••• I••••••••• A•••••••• I••• (listed 2024-07-19, absent 2024-12-23)Dec 23, 2024 · Control person left · inference
- E••• W• K••••••• left P••••• W•••• I••••••••• A•••••••• I••• for M••••• S•••••• (registered 2024-10-31)Jul 25, 2024 · Advisor changed firm · fact
- M•••••• B•••• left P••••• W•••• I••••••••• A•••••••• I••• for B•• I••••••••• A••••••• (registered 2024-03-06)Feb 13, 2024 · Advisor changed firm · fact
- Cannon Kathryn Lavender (Chief Financial Officer) no longer on Schedule A of P••••• W•••• I••••••••• A•••••••• I••• (listed 2023-08-30, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- Cannon Kathryn Lavender (Chief Financial Officer) appeared on Schedule A of P••••• W•••• I••••••••• A•••••••• I•••Mar 17, 2020 · Control person joined · fact
- P••••• W•••• I••••••••• A•••••••• I••• reported RAUM $536.0M, up 34% from $399.0M (2017-09-29 to 2018-03-08)Mar 8, 2018 · RAUM change · derived
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 email
- info@pwco.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-252-3681reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/P•••••-W••••-&-COMPANYreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 205-252-3681reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- pwco.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026