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••••••••• L••
Legal name A•• A••••••• S•••••••• L••
Latest filing Apr 25, 2023
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$122M as of Mar 18, 2022
Mar 29, 2012$92.0M then
HNW client RAUM$0 as of Mar 29, 2023
Mar 13, 2018$100M then
State-registered IARs (5.B.3)1 as of Mar 29, 2023
Mar 29, 20120 then
Employees (5.A)2 as of Mar 29, 2023
Mar 27, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 25, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -100%derived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- K••••••• R•• M•••••••• to S•••••• W••••• P•••••••• L••Dec 31, 2023 · Other
- T••••• C••••••••• S•••••• to S•••••• W••••• P•••••••• L••Nov 22, 2022 · RIA to affiliated broker-dealer or bank
- G••••••• G• W••••• to I••••••• F•••••••• P•••••••Jan 28, 2019 · RIA to a state-registered adviser
- P••••••• A•• K•••••• to L•• F•••••••• L••Feb 14, 2018 · Other
- A•••• G•••• R•••• to C••••• S•••••••• W••••• L••Dec 17, 2015 · Other
- A•••• G•••• R•••• to B••••••••• S•••••••• W•••••• L••Jun 24, 2013 · Other
Joined, latest
- T••••• C••••••••• S•••••• from H••••••• F•••••••• G••••Apr 18, 2019 · Other
- A•••• G•••• R•••• from B••••••••• S•••••••• W•••••• L••Jul 1, 2015 · Other
- G••••••• G• W••••• from C••••• A•••• M••••••••• L••Nov 5, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••• D••••••• L•••• · Managing Partner, Chief Compliance Officercontrolsince 01/2023 · owns 25% to 50%
- F••••• G•••••• W•••••• · Membercontrolsince 12/1999 · owns F of A•• H•••••••• L••
- M••••••••• K•••••••• R•• · Membercontrolsince 01/2017 · owns F of A•• H•••••••• L••
- M••••• M••••• H••••• · Membercontrolsince 01/2022 · owns F of A•• H•••••••• L••
- V•••••• D••••••• L•••• · Membercontrolsince 01/2017 · owns F of A•• H•••••••• L••
Entity owners
- A•• H•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••••• V•• L•••• S••••• L••••• • F••••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Gulfport, Ms · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Legal name · A••••••••• L•• to AVL ADVISORY SERVICES, LLCMar 29, 2023 to Apr 25, 2023
- Accounts · 281.0 to unsetMar 18, 2022 to Mar 29, 2023
- Advisory activities · 4 to 1Mar 18, 2022 to Mar 29, 2023
- Charity clients · 1 to 0Mar 18, 2022 to Mar 29, 2023
- HNW clients · 21 to 0Mar 18, 2022 to Mar 29, 2023
- Individual clients · 118 to 0Mar 18, 2022 to Mar 29, 2023
- Employees · 4 to 2Mar 18, 2022 to Mar 29, 2023
- Financial planning clients · 0 to unsetMar 18, 2022 to Mar 29, 2023
- Discretionary RAUM · 122088640.0 to unsetMar 18, 2022 to Mar 29, 2023
- HNW RAUM · $72.6M to $0Mar 18, 2022 to Mar 29, 2023
- Individual RAUM · $46.8M to $0Mar 18, 2022 to Mar 29, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 18, 2022 to Mar 29, 2023
- RAUM · 122088640.0 to unsetMar 18, 2022 to Mar 29, 2023
- Accounts · 282 to 281Mar 6, 2021 to Mar 18, 2022
- Advisory employees · 2 to 1Mar 6, 2021 to Mar 18, 2022
- Individual clients · 110 to 118Mar 6, 2021 to Mar 18, 2022
- State-registered IARs · 2 to 1Mar 6, 2021 to Mar 18, 2022
- Discretionary RAUM · $111M to $122MMar 6, 2021 to Mar 18, 2022
- HNW RAUM · $69.6M to $72.6MMar 6, 2021 to Mar 18, 2022
- Individual RAUM · $38.7M to $46.8MMar 6, 2021 to Mar 18, 2022
- RAUM · $111M to $122MMar 6, 2021 to Mar 18, 2022
- Accounts · 283 to 282Jun 24, 2020 to Mar 6, 2021
- HNW clients · 23 to 21Jun 24, 2020 to Mar 6, 2021
- Individual clients · 111 to 110Jun 24, 2020 to Mar 6, 2021
- Discretionary RAUM · $121M to $111MJun 24, 2020 to Mar 6, 2021
- HNW RAUM · $86.4M to $69.6MJun 24, 2020 to Mar 6, 2021
- Individual RAUM · $31.6M to $38.7MJun 24, 2020 to Mar 6, 2021
- RAUM · $121M to $111MJun 24, 2020 to Mar 6, 2021
- Accounts · 266 to 283Mar 27, 2019 to Mar 24, 2020
- Charity clients · 2 to 1Mar 27, 2019 to Mar 24, 2020
- Corporate clients · 1 to 0Mar 27, 2019 to Mar 24, 2020
- HNW clients · 25 to 23Mar 27, 2019 to Mar 24, 2020
- Individual clients · 92 to 111Mar 27, 2019 to Mar 24, 2020
- Pension plan clients · 3 to 0Mar 27, 2019 to Mar 24, 2020
- Custody of client assets · true to falseMar 27, 2019 to Mar 24, 2020
- Employees · 3 to 4Mar 27, 2019 to Mar 24, 2020
- Discretionary RAUM · $119M to $121MMar 27, 2019 to Mar 24, 2020
- HNW RAUM · $80.9M to $86.4MMar 27, 2019 to Mar 24, 2020
- Individual RAUM · $26.0M to $31.6MMar 27, 2019 to Mar 24, 2020
- Pension RAUM · $1.1M to $0Mar 27, 2019 to Mar 24, 2020
Signals
8 dated events
- K••••••• R•• M•••••••• left A••••••••• L•• for S•••••• W••••• P•••••••• L•• (registered 2024-01-02)Dec 31, 2023 · Advisor changed firm · fact
- Kay Lucinda Sloan (Member) no longer on Schedule A of A••••••••• L•• (listed 2022-03-18, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Lynn Kerry Lion (Chief Compliance Officer) no longer on Schedule A of A••••••••• L•• (listed 2022-03-18, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- T••••• C••••••••• S•••••• left A••••••••• L•• for S•••••• W••••• P•••••••• L•• (registered 2022-11-28)Nov 22, 2022 · Advisor changed firm · fact
- Hughes Megan Mills (Member) appeared on Schedule A of A••••••••• L••Mar 18, 2022 · Control person joined · fact
- Lynn Kerry Lion (Chief Compliance Officer) appeared on Schedule A of A••••••••• L••Mar 18, 2022 · Control person joined · fact
- Marion James Stokes (Member) no longer on Schedule A of A••••••••• L•• (listed 2018-03-13, absent 2019-01-28)Jan 28, 2019 · Control person left · inference
- Leo Jerry Levens (Member) no longer on Schedule A of A••••••••• L•• (listed 2018-03-13, absent 2019-01-28)Jan 28, 2019 · Control person left · inference
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