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

W•••••• A•••••••• L••

Independent wealth managerBirmingham, AlabamaCRD 115332SEC 801-60741website IAPD

Latest filing Aug 31, 2026

First filing on the tape Mar 30, 2012 · 60 filings

SEC status approved since Nov 30, 2001

RAUM

$30B

reported, Item 5.F

Discretionary

84%

of RAUM

Private clients

71%

$21B individuals and HNW

Advisors

224

registered through the firm on IAPD

RAUM per advisor

$133M

derived; firm RAUM over IAPD count

Employees

414

197 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

60 filings and snapshots on the tape

RAUM$30B as of Aug 31, 2026

Mar 30, 2012$865M then

HNW client RAUM$17B as of Aug 31, 2026

Mar 29, 2018$1.5B then

State-registered IARs (5.B.3)192 as of Aug 31, 2026

Mar 30, 20120 then

Employees (5.A)414 as of Aug 31, 2026

Mar 18, 201331 then

Private funds19 as of Aug 31, 2026

Mar 29, 20183 then

RAUM +85% over the last fiscal year+76% a year over threeIARs 152 to 192offices 38 to 48

Practice profile

derived from the filing of Aug 31, 2026; every figure names its basis

Archetypes, each a printed rule

Consolidator · three or more firms absorbed (half or more of their registered advisors moved to this adviser within 14 days) in 24 months
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
multi office g••••• platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
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
RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $134MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 58derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.0MderivedHNW RAUM over HNW clients
Average account: $836,542derivedRAUM over accounts (5.F.2.f)
Discretionary: 84%derivedof RAUM
Institutional: 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.9derivedItem 5.A over advisors
Advisors per office: 4.6derived49 offices incl. principal (1.F.5)
RAUM growth, one year: +85%derivedbetween the last two annual amendments
Advisor growth, one year: +26%derivedItem 5.B.3 between annual amendments
Client growth, one year: +33%derived
Compensation: percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients: 5,500reportedItem 5.H
Custody: $4.3B, 1,583 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 13derivedhalf or more of a firm's advisors moved here within 14 days
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)
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)
an independent public accountant performs a surprise examination (9.C.1)
a related person acts as qualified custodian (9.D.2)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$17B58%
Pension and profit-sharing plans$4.9B16%
Individuals$3.8B13%
Pooled investment vehicles$1.8B6.2%
Corporations and businesses$1.1B3.7%
Charitable organizations$823M2.8%
Investment companies$16.6M0.1%
Insurance companies$15.6M0.1%
State and municipal entities$14.4M0.0%
Banks and thrifts$3.9M0.0%

Individual clients: 8,621reported
HNW clients: 4,302reported
Pension plan clients: 453reported
Charitable clients: 81reported
Accounts: 35,709reported
Financial planning clients: 5,500reported
Wrap fee programs: noreported
Custody of client assets: $4.3B for 1,583 clientsreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: private_client_share=0.71 fund_share=0.06 institutional_share=0.19 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived

Advisors registered through the firm

224 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S••••• C••• C•••••	Birmingham, Al	Feb 15, 2000	35 y	0
J••••• T••••• R••••••	Birmingham, Al	Jan 9, 2007	22 y	2
D•••• M••••• F••••••Certified Financial Planner	Birmingham, Al	Jan 30, 2008	19 y	0
M•••••• L••••• N••••••Certified Financial Planner, Chartered Financial Analyst	Birmingham, Al	Nov 18, 2011	26 y	1
J•••••• P••• H••••Certified Financial Planner	Pensacola, Fl	Apr 21, 2012	15 y	1
A•••••••• E•••••••• R•••••	Montgomery, Al	Apr 23, 2012	14 y	0
J••••••• B••••• G•••••	Pensacola, Fl	May 31, 2012	26 y	2
J••• R••••••• A••••	Birmingham, Al	Nov 28, 2012	17 y	2
J••••• R••• M•••••Certified Financial Planner	Pensacola, Fl	Feb 21, 2013	14 y	0
K•••• S•••• C••••	Huntsville, Al	Feb 22, 2013	15 y	1
G•••• P• G•••••••Certified Financial Planner	Birmingham, Al	May 9, 2013	13 y	0
A•••• M•••••• N•••••	Birmingham, Al	Jan 5, 2016	24 y	6
G•••• W••••• C•••••••	Birmingham, Al	Mar 21, 2016	19 y	0
M••• K•••••• S••••	Montgomery, Al	Jul 7, 2016	27 y	3
C••• B••••• M•••••••	Birmingham, Al	Jul 7, 2016	36 y	2
L••• M•••• F•••	Birmingham, Al	Jul 7, 2016	16 y	1
M•••••• A••••• B•••••••	Birmingham, Al	Mar 17, 2017	12 y	1
A••••• A••• G•••••••Certified Financial Planner	Birmingham, Al	Apr 28, 2017	16 y	2
J••• B•••• C••Chartered Financial Analyst	Birmingham, Al	Apr 28, 2017	23 y	1
D•••• C•••••••	Birmingham, Al	Mar 27, 2018	14 y	0
M•••••• J•••• B•••••••	Birmingham, Al	Oct 11, 2018	21 y	2
E•••••••• L••••• B••••••	Birmingham, Al	Jan 1, 2020	10 y	0
K••••••• M••••••• W•••••	Homewood, Al	Aug 25, 2020	23 y	1
E••• B•••••• C•••••Certified Financial Planner	Huntsville, Al	Oct 26, 2020	13 y	0
A••••• D•••• T•••••Certified Financial Planner	Pensacola, Fl	Mar 1, 2021	10 y	0
J••••••• R• O••••••	Birmingham, Al	Apr 20, 2022	16 y	0
L•••• T••••• B••••Certified Financial Planner	Birmingham, Al	May 6, 2022	12 y	1
L•••• A•• T•••••	Birmingham, Al	May 6, 2022	12 y	1
T••••• R• M••••Certified Financial Planner	Birmingham, Al	Jul 27, 2022	22 y	4
C••••••• W••••• D••••••	Savannah, Ga	Jul 29, 2022	44 y	2
O•••• M••••• W••••••Chartered Financial Analyst	Birmingham, Al	Aug 29, 2022	25 y	3
W•••••• C••• M•••••••Chartered Financial Analyst	Atlanta, Ga	Sep 2, 2022	11 y	1
B••••••• G••• L••••Certified Financial Planner	Birmingham, Al	Sep 2, 2022	10 y	1
W•••••• J• M••••••	Birmingham, Al	Sep 16, 2022	11 y	0
S•••• E••••• C••••Chartered Financial Analyst	Birmingham, Al	Sep 28, 2022	24 y	1
M••• D•••••• S••••••Certified Financial Planner	Birmingham, Al	Jan 3, 2023	10 y	3
J•••• E••••• S•••••••Certified Financial Planner	Birmingham, Al	Jan 3, 2023	38 y	3
T••••• A•••• D•••••••	Lakeland, Fl	Feb 7, 2023	11 y	1
C••••••••• J•••• M•••••••Certified Financial Planner	Birmingham, Al	Feb 8, 2023	10 y	2
H••••• L•• W•••Certified Financial Planner, Personal Financial Specialist	Lakeland, Fl	Feb 10, 2023	29 y	1

All 224 advisors at W•••••• A•••••••• L••

Advisor movement

3 left, 69 joined in 12 months

net +66 in 12 months0 left in 90 days4 joined in 90 daysdeparture rate 1.3% of current headcount7 left over 36 months

Left, latest

H••••••• D•••••• S••••••• to S•••••• S••••••••• I•••
Jun 10, 2026 · RIA to affiliated broker-dealer or bank
P•••• E• L••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Apr 2, 2026 · RIA to affiliated broker-dealer or bank
J•••• T••••• P••••• to M••••••••• A•••• M••••••••• I•••
Jan 29, 2026 · RIA to RIA
C•••• P• C•••• to M••••••
May 9, 2025 · RIA to affiliated broker-dealer or bank
N••••••• J•••• S•••••• to L•••
Dec 23, 2024 · RIA to RIA
D••••• M•••••• H••••••• to B•• W•••••
Dec 13, 2024 · RIA to RIA
R••• M•••••• V•••••• to H••••••••• I••••••••• C•
Aug 12, 2024 · RIA to RIA
N••••• D•••• S•••• to O•••••••••
Sep 8, 2023 · Other
M••• P••••• P•••••• G••••• to S••••••••• W••••• P•••••••
Nov 11, 2021 · RIA to RIA
I••• J•••• T••••••• to R•• A•••••••• L••
Jan 2, 2020 · RIA to RIA
J••••• W•••• L•••••••• to B•••• F•••••••• A•••••••
Aug 21, 2018 · RIA to RIA
C••••••••• B•••• D••••• to D••••• C••••••• L••
May 4, 2017 · Other
J•••• A••••• W••• to F•• I••••••••• G••••• L••
Mar 24, 2015 · Other
J•••• S••••• F•••• to B••••••••• W••••• M•••••••••
Feb 9, 2015 · Other
M•••••• C••••••••• H••• to C•••••• S••••• • C••• I•••
Jan 2, 2015 · Other

Joined, latest

A••• S••••• from M••••• S••••••
Aug 18, 2026 · Wirehouse to independent RIA
C•••••• P••••••• R••••••• from V•••• F•••••••• A•••••••• I•••
Aug 14, 2026 · Affiliated broker-dealer or bank to independent RIA
V•••••• P••• from E•••• S••••••••• L••
Aug 14, 2026 · Affiliated broker-dealer or bank to independent RIA
M•••••• A••••• B••••••• from L•• F•••••••• L••
Jul 24, 2026 · RIA to RIA
R•••••• B•••• C••••• from W••••••••• L••
May 29, 2026 · RIA to RIA
W•••••• T••••• M•••••• from T•••••••• A•••••••• L••
May 22, 2026 · RIA to RIA
C•••••• L•• S•••••• from T•••••••• A•••••••• L••
May 19, 2026 · RIA to RIA
L••• M•••• D•••••••• from T•••••••• A•••••••• L••
May 19, 2026 · RIA to RIA
K••• L••• H••• from T•••••••• A•••••••• L••
May 18, 2026 · RIA to RIA
J•••• C••••• P••••• from T•••••••• A•••••••• L••
May 11, 2026 · RIA to RIA
G•••••• B•••••• U•••• from T•••••••• A•••••••• L••
May 8, 2026 · RIA to RIA
M•••• D•••••• U•••• from T•••••••• A•••••••• L••
May 8, 2026 · RIA to RIA
M•••••• W•••••• R••••••• from T•••••••• A•••••••• L••
May 7, 2026 · RIA to RIA
T••••• J•••• C•••• from O•••••••• F••••• O••••••
May 7, 2026 · RIA to RIA
E••• L••• V•••••• from T•••••••• A•••••••• L••
May 7, 2026 · RIA to RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from N•• C•••••• L••
May 29, 2026 · Boston, Ma · Firm absorbed
2 joined from T•••••••• A•••••••• L••
May 19, 2026 · Metairie, La
13 joined from T•••••••• A•••••••• L••
Apr 24, 2026 · Metairie, La · Firm absorbed
3 joined from F•••••••• W••••• M•••••••••
Mar 16, 2026 · Malvern, Pa · Firm absorbed
5 joined from P••• P•••••••••
Mar 10, 2026 · Lake Oswego, Or · Firm absorbed
11 joined from P•••••• P•••••••• C••••••••• L••
Dec 23, 2025 · Seattle, Wa · Firm absorbed
5 joined from P••••• C••••••• L••
Dec 12, 2025 · Chicago, Il · Firm absorbed
3 joined from B••••• C•••• C•••••• M••••••••• L••
Dec 9, 2025 · West Barnstable, Ma · Firm absorbed

Teams out Teams in

Private funds

12 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
P••••• A••••• V• L•		$443M	124	Aug 31, 2026
W•••••• O••••••••• F•••• L•	Other Private Fund	$90.2M	99	Mar 3, 2016
W•••••• I••••• F•••• L•	Other Private Fund	$65.5M	64	Oct 18, 2022
W•••••• O••••••••• F••• I•• L•no longer reported	Other Private Fund	$57.4M	82	Mar 28, 2018
W•••••• G••••• F••• I• L•	Other Private Fund	$28.7M	83	Oct 18, 2022
T••••• C••••••••• H•••••••• L••		$25.7M	90	Aug 31, 2026
W•••••• G••••• F••• I• L•		$11.6M	40	Aug 31, 2026
B• S••••• F••• I• L•	Other Private Fund	$5.4M	35	May 20, 2019
H••• L••	Real Estate Fund	$880,563	35	Mar 29, 2012
H• S••••• I• L••	Other Private Fund	$544,030	10	Mar 26, 2020
H••••• O••••••••• P•••••••• I•• L•• C•••• A•	Hedge Fund	$178,172	9	Mar 29, 2012
H••••• O••••••••• P•••••••• I•• L•• C•••• B•no longer reported	Hedge Fund	$66,788	7	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

C••• J•••• B•••• · Chief Economistcontrol
since 04/2017 · owns less than 5%
E•••••• H••••• R••• · Chief Technology Officercontrol
since 01/2022 · owns less than 5%
G•••• B••••• J••••• · Chief Information Officercontrol
since 03/2023 · owns less than 5%
L••••••• J••••• R••••• · Chief Financial Officercontrol
since 12/2021 · owns less than 5%
L•••••• W••••• G••••• · Chief G••••• Officer Officercontrol
since 01/2025 · owns less than 5%
M•••••••• W••••••• C••• · Chief Investment Officercontrol
since 07/2022 · owns less than 5%
R••••••• J•••••• T••••• · President/Chief Executive Officercontrol
since 12/2021 · owns less than 5%
S••••••• M•••••• R•••• F•••• · Chief Compliance Officercontrol
since 02/2024 · owns less than 5%
S••••• J•••••• H••••• · Chief Operating Officercontrol
since 07/2022 · owns less than 5%
B••••••• S•••• P••• · Board Of Managerscontrol
since 01/2022 · owns F of W••• T••••• L••
C•••••••• J•••• W•••••• · Board Of Managerscontrol
since 01/2022 · owns F of P•••••• C•••••• A••••••••• L••
C•••••••• J•••• W•••••• · Board Of Managerscontrol
since 01/2022 · owns F of W••• T••••• L••
G•••• R••••••• P••••••• · Board Of Managerscontrol
since 01/2022 · owns F of W••• T••••• L••
L•••••• R••••••• F••••••• · Board Of Managerscontrol
since 01/2022 · owns F of A••••• H•••••••• L••
R•••••• M••••••• D•••• · Board Of Managerscontrol
since 01/2022 · owns F of W••• T••••• L••
R•••••• M••••••• D•••• · Board Of Managerscontrol
since 01/2022 · owns F of P•••••• C•••••• A••••••••• L••
R••••••• J•••••• T••••• · Board Of Managerscontrol
since 01/2022 · owns F of W••• T••••• L••
W••••• N•••• H••••• · Board Of Managerscontrol
since 01/2022 · owns F of W••• T••••• L••
W••••• N•••• H••••• · Board Of Managerscontrol
since 01/2022 · owns F of P•••••• C•••••• A••••••••• L••
W••••• N•••• H••••• · Board Of Managerscontrol
since 01/2022 · owns F of A••••• H•••••••• L••
Y••••• J••• S••••• · Board Of Managerscontrol
since 01/2022 · owns F of A••••• H•••••••• L••

Entity owners

W••• P•••••• L•• · Owner
direct · owns 75% or more
A••••• H•••••••• L•• · Owner
indirect · owns 75% or more of P•••••• C•••••• A••••••••• L••
H••• F••• I•••• L••• · Owner
indirect · owns 75% or more of A••••• H•••••••• L••
P•••••• C•••••• A••••••••• L•• · Owner
indirect · owns 50% to 75% of W••• T••••• L••
W••• T••••• L•• · Managing Member
indirect · owns 75% or more of W••• P•••••• L••

Related persons

Schedule D 7.A

A•••• J•••••• H•••••••• L••
bankn
C•••••• A••••• G••••• I•••
investment companyn
M•••••• P•••••••
investment advisernRAUM $709M
G••••• C••••••• L••
n
N••••••• A••••••• H•••••••• I•••
custodiann
O••• W••••• A•••••••• I•••
insurancen
S•••••••• T•• A•• B•••••••• S•••••••• L••
insurancen
W••• T•••• L••
insurancen
W••••• A••••••• L••
insurancen
W•••••• B••••••• S•••••••• L••
insurancen
W•••••• F••• G••••• L•••
pooled vehicle sponsory

Advisers that list W•••••• A•••••••• L•• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Birmingham, Al · principal	223	82	3
Dayton, Oh	19	0	0
Seattle, Wa	14	14	0
Metairie, La	14	14	0
Cincinnati, Oh	11	4	0
Atlanta, Ga	11	3	0
Merrillville, In	10	0	0
Montgomery, Al	8	6	0
Ridgeland, Ms	7	1	0
Chicago, Il	7	7	0
Baltimore, Md	6	2	0
Charlotte, Nc	6	0	0
A•••••, Tx	5	0	0
Boston, Ma	5	5	0
Colorado Springs, Co	5	0	0
Hamilton, Oh	5	0	0
Lake Oswego, Or	5	5	0
Peachtree City, Ga	5	1	0
Pensacola, Fl	4	0	0
West Barnstable, Ma	4	4	0

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 22 since 2015, 13 in 24 monthsderived
Advisors acquired: 131derived
Still registered after 90 days: 98% of 131derived
After 180 days: 98% of 115derived
After 365 days: 98% of 88derived
After 730 days: 93% of 45derived
Team lift-outs after: 0derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Dayton, OH17 employees
Atlanta, GA10 employees
Blue Ash, OH9 employees
Charlotte, NC8 employees
Merillville, IN8 employees
Peachtree City, GA6 employees
Ridgeland, MS6 employees
Jacksonville, FL6 employees
Pensacola, FL5 employees
Deerfield, IL4 employees
Hamilton, OH4 employees
A•••••, TX4 employees
Paoli, PA4 employees
Colorado Springs, CO4 employees
Zionsville, IN3 employees
Huntsville, AL3 employees
Lafayette, IN3 employees
Lakeland, FL3 employees
Oak Brook, IL3 employees
Westerville, OH3 employees
Mobile, AL2 employees
St. Petersburg, FL2 employees
Chicago, IL1 employees
Canon City, CO1 employees
Montgomery, AL1 employees

ADV anomalies

14 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Aug 31, 2026
B••••••• S•••• P••• (BOARD OF MANAGERS) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
W••••• N•••• H••••• (BOARD OF MANAGERS) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
L•••••• W••••• G••••• (CHIEF G••••• OFFICER OFFICER) appeared on Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
C•••••••• J•••• W•••••• (BOARD OF MANAGERS) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
L•••••• R••••••• F••••••• (BOARD OF MANAGERS) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
G•••• R••••••• P••••••• (BOARD OF MANAGERS) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
Y••••• J••• S••••• (BOARD OF MANAGERS) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
E•••••• H••••• R••• (CHIEF TECHNOLOGY OFFICER) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
S••••••• M•••••• R•••• F•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Aug 31, 2026
R•••••• M••••••• D•••• (BOARD OF MANAGERS) left Schedule A between the filings of 2024-03-29 and 2026-08-31
peers: independent wealth managers, $20B and over (84)
g••••• on all axesCombination · filing Mar 31, 2026
RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $16,130,190,961 to $29,781,065,619, advisors 152 to 192, private clients 9685 to 12923, offices 38 to 48 (2025-04-04 to 2026-03-31)
peers: independent wealth managers, $20B and over (84)
wealth RIA private fund surgeCombination · filing Mar 31, 2026
a wealth manager (private-client share at least 50 percent) whose private fund count grew by three or more and 50 percent or more. RAUM $16,130,190,961 to $29,781,065,619, advisors 152 to 192, private clients 9685 to 12923, offices 38 to 48 (2025-04-04 to 2026-03-31)
peers: independent wealth managers, $20B and over (84)
private fund count surgeChange between filings · filing Mar 31, 2026
private funds (Schedule D 7.B.1) moved from 8.0 to 19.0 (+138.0%) between the annual amendments of 2025-04-04 and 2026-03-31; the peer median change was +2.0% (33 comparable advisers, 97.0th percentile of changes)
peers: independent wealth managers, $20B and over (33) · 97% percentile
RAUM up 50 %Change between filings · filing Mar 31, 2026
RAUM (Item 5.F) moved from $16,130,190,961 to $29,781,065,619 (+85.0%) between the annual amendments of 2025-04-04 and 2026-03-31; the peer median change was +16.0% (80 comparable advisers, 91.0th percentile of changes)
peers: independent wealth managers, $20B and over (80) · 91% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Discretionary RAUM · $25B to $25B
Jul 10, 2026 to Aug 31, 2026
Pooled vehicle RAUM · $1.8B to $1.8B
Jul 10, 2026 to Aug 31, 2026
RAUM · $30B to $30B
Jul 10, 2026 to Aug 31, 2026
Accounts · 34,313 to 35,709
Feb 26, 2026 to Mar 31, 2026
Charity clients · 71 to 81
Feb 26, 2026 to Mar 31, 2026
Corporate clients · 163 to 200
Feb 26, 2026 to Mar 31, 2026
HNW clients · 3,916 to 4,302
Feb 26, 2026 to Mar 31, 2026
Individual clients · 7,844 to 8,621
Feb 26, 2026 to Mar 31, 2026
Pension plan clients · 439 to 453
Feb 26, 2026 to Mar 31, 2026
Pooled vehicle clients · 26 to 27
Feb 26, 2026 to Mar 31, 2026
Assets in custody · $3.8B to $4.3B
Feb 26, 2026 to Mar 31, 2026
Employees · 384 to 414
Feb 26, 2026 to Mar 31, 2026
Insurance-licensed employees · 24 to 3
Feb 26, 2026 to Mar 31, 2026
State-registered IARs · 177 to 192
Feb 26, 2026 to Mar 31, 2026
Other offices · 43 to 48
Feb 26, 2026 to Mar 31, 2026
Private funds · 17 to 19
Feb 26, 2026 to Mar 31, 2026
Discretionary RAUM · $23B to $25B
Feb 26, 2026 to Mar 31, 2026
HNW RAUM · $17B to $17B
Feb 26, 2026 to Mar 31, 2026
Individual RAUM · $3.4B to $3.8B
Feb 26, 2026 to Mar 31, 2026
Non-discretionary RAUM · $5.0B to $4.7B
Feb 26, 2026 to Mar 31, 2026
Pension RAUM · $4.9B to $4.9B
Feb 26, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $1.7B to $1.8B
Feb 26, 2026 to Mar 31, 2026
RAUM · $28B to $30B
Feb 26, 2026 to Mar 31, 2026
Advisory employees · 190 to 197
Nov 21, 2025 to Dec 23, 2025
Employees · 371 to 384
Nov 21, 2025 to Dec 23, 2025
Insurance-licensed employees · 21 to 24
Nov 21, 2025 to Dec 23, 2025
State-registered IARs · 171 to 177
Nov 21, 2025 to Dec 23, 2025
Other offices · 42 to 43
Nov 21, 2025 to Dec 23, 2025
Accounts · 26,740 to 34,313
Jul 16, 2025 to Nov 21, 2025
Advisory employees · 152 to 190
Jul 16, 2025 to Nov 21, 2025
Charity clients · 45 to 71
Jul 16, 2025 to Nov 21, 2025
Corporate clients · 90 to 163
Jul 16, 2025 to Nov 21, 2025
HNW clients · 2,978 to 3,916
Jul 16, 2025 to Nov 21, 2025
Individual clients · 6,707 to 7,844
Jul 16, 2025 to Nov 21, 2025
Pension plan clients · 254 to 439
Jul 16, 2025 to Nov 21, 2025
Pooled vehicle clients · 8 to 26
Jul 16, 2025 to Nov 21, 2025
Assets in custody · $1.8B to $3.8B
Jul 16, 2025 to Nov 21, 2025
Employees · 281 to 371
Jul 16, 2025 to Nov 21, 2025
Insurance-licensed employees · 10 to 21
Jul 16, 2025 to Nov 21, 2025
State-registered IARs · 152 to 171
Jul 16, 2025 to Nov 21, 2025

Signals

60 dated events

Iain Patrick Purdom no longer holds an investment adviser registration (last listed at W•••••• A•••••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
H••••••• D•••••• S••••••• left W•••••• A•••••••• L•• for S•••••• S••••••••• I••• (registered 2026-08-27)
Jun 10, 2026 · Advisor changed firm · fact
N•• C•••••• L••'s advisors moved to W•••••• A•••••••• L•• (Boston, MA): 3 of 3 registered, on the same day
May 29, 2026 · Firm absorbed (people side) · derived
2 advisors left T•••••••• A•••••••• L•• (Metairie, LA) for W•••••• A•••••••• L•• on the same day
May 19, 2026 · Team lift-out · derived
T•••••••• A•••••••• L••'s advisors moved to W•••••• A•••••••• L•• (Metairie, LA): 13 of 15 registered, on the same day
Apr 24, 2026 · Firm absorbed (people side) · derived
P•••• E• L••••• left W•••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-20)
Apr 2, 2026 · Advisor changed firm · fact
W•••••• A•••••••• L•• reported 48 offices beyond its principal office, up from 43 (2026-02-26 to 2026-03-31)
Mar 31, 2026 · Office count change · derived
F•••••••• W••••• M•••••••••'s advisors moved to W•••••• A•••••••• L•• (Malvern, PA): 3 of 3 registered, on the same day
Mar 16, 2026 · Firm absorbed (people side) · derived
P••• P•••••••••'s advisors moved to W•••••• A•••••••• L•• (Lake Oswego, OR): 5 of 5 registered, on the same day
Mar 10, 2026 · Firm absorbed (people side) · derived
J•••• T••••• P••••• left W•••••• A•••••••• L•• for M••••••••• A•••• M••••••••• I••• (registered 2026-05-27)
Jan 29, 2026 · Advisor changed firm · fact
P•••••• P•••••••• C••••••••• L••'s advisors moved to W•••••• A•••••••• L•• (Seattle, WA): 11 of 11 registered, on the same day
Dec 23, 2025 · Firm absorbed (people side) · derived
P••••• C••••••• L••'s advisors moved to W•••••• A•••••••• L•• (Chicago, IL): 5 of 6 registered, on the same day
Dec 12, 2025 · Firm absorbed (people side) · derived
B••••• C•••• C•••••• M••••••••• L••'s advisors moved to W•••••• A•••••••• L•• (West Barnstable, MA): 3 of 3 registered, on the same day
Dec 9, 2025 · Firm absorbed (people side) · derived
W•••••• A•••••••• L•• reported RAUM $28.3B, up 75% from $16.1B (2025-07-16 to 2025-11-21)
Nov 21, 2025 · RAUM change · derived
G•• W••••• A•••••••'s advisors moved to W•••••• A•••••••• L•• (Baltimore, MD): 6 of 6 registered, on the same day
Aug 5, 2025 · Firm absorbed (people side) · derived
C•••• P• C•••• left W•••••• A•••••••• L•• for Mariner (registered 2025-05-29)
May 9, 2025 · Advisor changed firm · fact
D•••••••• I••••••••• A•••••••'s advisors moved to W•••••• A•••••••• L•• (Council Bluffs, IA): 3 of 3 registered, on the same day
Mar 20, 2025 · Firm absorbed (people side) · derived
B••••••••• C•••••• M••••••••• I•••'s advisors moved to W•••••• A•••••••• L•• (Dayton, OH): 14 of 16 registered, within 3 days
Mar 14, 2025 · Firm absorbed (people side) · derived
5 advisors left B••••••••• F•••••••• G••••• I••• (Dayton, OH) for W•••••• A•••••••• L•• on the same day
Mar 6, 2025 · Team lift-out · derived
2 advisors left P••••••• C•••••• M••••••••• C•••• (Paoli, PA) for W•••••• A•••••••• L•• on the same day
Feb 6, 2025 · Team lift-out · derived
N••••••• J•••• S•••••• left W•••••• A•••••••• L•• for Lido (registered 2025-01-10)
Dec 23, 2024 · Advisor changed firm · fact
W•••••• A•••••••• L•• reported 34 offices beyond its principal office, up from 28 (2024-11-08 to 2024-12-19)
Dec 19, 2024 · Office count change · derived
Layne Joshua Reidinger (Chief Executive Officer) no longer on Schedule A of W•••••• A•••••••• L•• (listed 2024-11-08, absent 2024-12-19)
Dec 19, 2024 · Control person left · inference
C••••••••• W••••• M••••••••• L••'s advisors moved to W•••••• A•••••••• L•• (Zionsville, IN): 3 of 3 registered, on the same day
Dec 16, 2024 · Firm absorbed (people side) · derived
M•••••• P•••••••'s advisors moved to W•••••• A•••••••• L•• (Charlotte, NC): 7 of 7 registered, within 6 days
Dec 13, 2024 · Firm absorbed (people side) · derived
D••••• M•••••• H••••••• left W•••••• A•••••••• L•• for B•• W••••• (registered 2025-01-17)
Dec 13, 2024 · Advisor changed firm · fact
9••• W••••• M••••••••• L••'s advisors moved to W•••••• A•••••••• L•• (Blue Ash, OH): 10 of 11 registered, on the same day
Dec 2, 2024 · Firm absorbed (people side) · derived
2 advisors left R•••• C•••••• A•••••••• L• (J••••••ville, FL) for W•••••• A•••••••• L•• on the same day
Nov 21, 2024 · Team lift-out · derived
D•••••• A•••• M•••••••••'s advisors moved to W•••••• A•••••••• L•• (Peachtree City, GA): 4 of 4 registered, on the same day
Aug 23, 2024 · Firm absorbed (people side) · derived
R••• M•••••• V•••••• left W•••••• A•••••••• L•• for H••••••••• I••••••••• C• (registered 2024-08-25)
Aug 12, 2024 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

W•••••• A•••••••• L•• · Independent Sponsors
shared crd · capital_provider
W•••••• A•••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/waverlyadvisors-llcreportedpublic record, Form ADV, Sep 19, 2026
Website: MY401KCOMPLETE.COMreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone: 205-871-3334reportedpublic record, Form ADV, Aug 31, 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: $133Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

W•••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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