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
J•• C••••••• W••••• M•••••••••
Legal name C••••••• W••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Jun 10, 2016
RAUM
$416M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$409M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$59.4M
derived; firm RAUM over IAPD count
Employees
8
7 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$416M as of Mar 12, 2026
Mar 29, 2012$57.3M then
HNW client RAUM$378M as of Mar 12, 2026
Mar 20, 2018$94.0M then
State-registered IARs (5.B.3)7 as of Mar 12, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Mar 12, 2026
Mar 29, 20177 then
Private funds: no history
RAUM +15% over the last fiscal year+9.0% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
- RAUM per advisor
- $59.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $770,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $275M, 295 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$378M91%
- Individuals$31.1M7.5%
- Pension and profit-sharing plans$4.2M1.0%
- Charitable organizations$1.5M0.4%
- Corporations and businesses$1.3M0.3%
- Individual clients
- 107reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 540reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $275M for 295 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• G•••••• B•••••Certified Financial Planner, Personal Financial Specialist | Tuscaloosa, Al | Nov 12, 2002 | 23 y | 0 |
| R••••• L••••• I•••••Certified Financial Planner, Personal Financial Specialist | Tuscaloosa, Al | Mar 4, 2014 | 24 y | 1 |
| J••• W•••••• L••• | Tuscaloosa, Al | Mar 5, 2014 | 34 y | 1 |
| B•••• R••• C•••••••Certified Financial Planner, Personal Financial Specialist | Tuscaloosa, Al | Mar 5, 2014 | 47 y | 1 |
| A•••• J••••• H•••• | Tuscaloosa, Al | Jul 29, 2014 | 27 y | 0 |
| R•••••• E••••• G•••••Certified Financial Planner | Tuscaloosa, Al | Jan 3, 2023 | 48 y | 0 |
| D•••• J• B••••• | Tuscaloosa, Al | Mar 1, 2024 | 12 y | 2 |
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
none on the tape
Joined, latest
- D•••• J• B••••• from S••••••• W••••• M•••••••••Mar 1, 2024 · RIA to RIA
- B•••• R••• C••••••• from J•• W••••• M••••••••• L••Mar 5, 2014 · Other
- J••• W•••••• L••• from J•• W••••• M••••••••• L••Mar 5, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from J•• W••••• M••••••••• L••Dec 31, 2015 · Tuscaloosa, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S••••• A• · Managing Membercontrolsince 01/2018 · owns less than 5%
- L•••• J•••• W•••••• · Chief Compliance Officercontrolsince 02/2014 · owns less than 5%
Entity owners
- J•• W••••• M••••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- J••••••••• P•insuranceLP sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tuscaloosa, Al · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 562 to 540Apr 21, 2025 to Mar 12, 2026
- Advisory employees · 8 to 7Apr 21, 2025 to Mar 12, 2026
- Charity clients · 5.0 to unsetApr 21, 2025 to Mar 12, 2026
- Corporate clients · 6 to 5Apr 21, 2025 to Mar 12, 2026
- HNW clients · 101 to 107Apr 21, 2025 to Mar 12, 2026
- Individual clients · 113 to 107Apr 21, 2025 to Mar 12, 2026
- Assets in custody · $227M to $275MApr 21, 2025 to Mar 12, 2026
- State-registered IARs · 8 to 7Apr 21, 2025 to Mar 12, 2026
- Discretionary RAUM · $362M to $415MApr 21, 2025 to Mar 12, 2026
- HNW RAUM · $321M to $378MApr 21, 2025 to Mar 12, 2026
- Individual RAUM · $34.0M to $31.1MApr 21, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $617,799 to $699,866Apr 21, 2025 to Mar 12, 2026
- Pension RAUM · $3.8M to $4.2MApr 21, 2025 to Mar 12, 2026
- RAUM · $363M to $416MApr 21, 2025 to Mar 12, 2026
- Accounts · 513 to 562Mar 20, 2024 to Apr 21, 2025
- Advisory employees · 7 to 8Mar 20, 2024 to Apr 21, 2025
- HNW clients · 92 to 101Mar 20, 2024 to Apr 21, 2025
- Individual clients · 111 to 113Mar 20, 2024 to Apr 21, 2025
- Assets in custody · $204M to $227MMar 20, 2024 to Apr 21, 2025
- Employees · 7 to 8Mar 20, 2024 to Apr 21, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Apr 21, 2025
- State-registered IARs · 7 to 8Mar 20, 2024 to Apr 21, 2025
- Discretionary RAUM · $333M to $362MMar 20, 2024 to Apr 21, 2025
- HNW RAUM · $292M to $321MMar 20, 2024 to Apr 21, 2025
- Individual RAUM · $37.0M to $34.0MMar 20, 2024 to Apr 21, 2025
- Non-discretionary RAUM · $3.1M to $617,799Mar 20, 2024 to Apr 21, 2025
- Pension RAUM · $3.6M to $3.8MMar 20, 2024 to Apr 21, 2025
- RAUM · $336M to $363MMar 20, 2024 to Apr 21, 2025
- Accounts · 460 to 513Mar 22, 2023 to Mar 20, 2024
- Corporate clients · unset to 6.0Mar 22, 2023 to Mar 20, 2024
- HNW clients · 84 to 92Mar 22, 2023 to Mar 20, 2024
- Individual clients · 113 to 111Mar 22, 2023 to Mar 20, 2024
- Assets in custody · $173M to $204MMar 22, 2023 to Mar 20, 2024
- Financial planning clients · unset to 0Mar 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $319M to $333MMar 22, 2023 to Mar 20, 2024
- HNW RAUM · $282M to $292MMar 22, 2023 to Mar 20, 2024
- Individual RAUM · $34.7M to $37.0MMar 22, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $2.7M to $3.1MMar 22, 2023 to Mar 20, 2024
- Pension RAUM · $3.3M to $3.6MMar 22, 2023 to Mar 20, 2024
- RAUM · $322M to $336MMar 22, 2023 to Mar 20, 2024
Signals
4 dated events
- J•• C••••••• W••••• M••••••••• reported RAUM $309.4M, up 71% from $180.5M (2021-03-11 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- A Scott Goldsmith (Managing Member) appeared on Schedule A of J•• C••••••• W••••• M•••••••••Mar 19, 2019 · Control person joined · fact
- Ross Bryan Chandler (Managing Member) no longer on Schedule A of J•• C••••••• W••••• M••••••••• (listed 2018-03-20, absent 2019-03-19)Mar 19, 2019 · Control person left · inference
- J•• C••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 11, 2016 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@jmfcapstone.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tbaker@jmfcapstone.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-345-8440reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-366-4000reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 205-345-8440reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- jmfcapstone.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- jmfcapstone.com/about-us/our-teamreportedpublished 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
- $59.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026