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
N••• P••••• • C••••••• I•••
Latest filing Mar 31, 2025
First filing on the tape Mar 23, 2012 · 19 filings
SEC status approved since Jul 12, 2005
RAUM
$160M
reported, Item 5.F
Discretionary
6.3%
of RAUM
Private clients
85%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$160M as of Mar 31, 2025
Mar 23, 2012$113M then
HNW client RAUM$115M as of Mar 31, 2025
Mar 27, 2018$113M then
State-registered IARs (5.B.3)2 as of Mar 31, 2025
Mar 23, 20120 then
Employees (5.A)2 as of Mar 31, 2025
Mar 18, 20132 then
Private funds: no history
RAUM +7.8% over the last fiscal year+0.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $80.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $540,032derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.3%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%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 advisers, otherreportedItem 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
- 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$115M72%
- Individuals$21.2M13%
- Pension and profit-sharing plans$14.0M8.7%
- Corporations and businesses$9.9M6.2%
- Charitable organizations$326,1120.2%
- Individual clients
- 60reported
- HNW clients
- 47reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 297reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- D••••• K•••• O•••• to L•••••• I••••••••• M••••••••• I•••Feb 18, 2026 · RIA to RIA
- N••••• D•••••••• I•• P••••• to L•••••• I••••••••• M••••••••• I•••Feb 18, 2026 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•••••• I••••••••• M••••••••• I•••Feb 18, 2026 · Mobile, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• N•••••• D•••••••• I•• · President, Chief Compliance Officercontrolsince 02/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mobile, Al · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 276 to 297Mar 27, 2024 to Mar 31, 2025
- Corporate clients · 12 to 13Mar 27, 2024 to Mar 31, 2025
- HNW clients · 44 to 47Mar 27, 2024 to Mar 31, 2025
- Individual clients · 64 to 60Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 11-25Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.2M to $10.1MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $105M to $115MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $20.2M to $21.2MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $140M to $150MMar 27, 2024 to Mar 31, 2025
- Pension RAUM · $13.7M to $14.0MMar 27, 2024 to Mar 31, 2025
- RAUM · $149M to $160MMar 27, 2024 to Mar 31, 2025
- Accounts · 267 to 276Mar 29, 2023 to Mar 27, 2024
- Charity clients · unset to 1.0Mar 29, 2023 to Mar 27, 2024
- Corporate clients · 14 to 12Mar 29, 2023 to Mar 27, 2024
- HNW clients · 41 to 44Mar 29, 2023 to Mar 27, 2024
- Pension plan clients · unset to 2.0Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $8.2M to $9.2MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $92.5M to $105MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $18.8M to $20.2MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $128M to $140MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $12.1M to $13.7MMar 29, 2023 to Mar 27, 2024
- RAUM · $137M to $149MMar 29, 2023 to Mar 27, 2024
- Accounts · 262 to 267Mar 29, 2022 to Mar 29, 2023
- Charity clients · 1.0 to unsetMar 29, 2022 to Mar 29, 2023
- Corporate clients · 13 to 14Mar 29, 2022 to Mar 29, 2023
- HNW clients · 43 to 41Mar 29, 2022 to Mar 29, 2023
- Individual clients · 61 to 64Mar 29, 2022 to Mar 29, 2023
- Pension plan clients · 2.0 to unsetMar 29, 2022 to Mar 29, 2023
- Financial planning clients · 0 to 101-250Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $7.4M to $8.2MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $109M to $92.5MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $19.1M to $18.8MMar 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $153M to $128MMar 29, 2022 to Mar 29, 2023
- Pension RAUM · $14.7M to $12.1MMar 29, 2022 to Mar 29, 2023
- RAUM · $160M to $137MMar 29, 2022 to Mar 29, 2023
- Accounts · 249 to 262Mar 31, 2021 to Mar 29, 2022
- Corporate clients · 14 to 13Mar 31, 2021 to Mar 29, 2022
- HNW clients · 41 to 43Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $5.8M to $7.4MMar 31, 2021 to Mar 29, 2022
- HNW RAUM · $100M to $109MMar 31, 2021 to Mar 29, 2022
Signals
4 dated events
- N••• P••••• • C••••••• I••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $160.4M)Mar 2, 2026 · Left the SEC roster · derived
- D••••• K•••• O•••• left N••• P••••• • C••••••• I••• for L•••••• I••••••••• M••••••••• I••• (registered 2026-01-05)Feb 18, 2026 · Advisor changed firm · fact
- N••••• D•••••••• I•• P••••• left N••• P••••• • C••••••• I••• for L•••••• I••••••••• M••••••••• I••• (registered 2026-01-05)Feb 18, 2026 · Advisor changed firm · fact
- 2 advisors left N••• P••••• • C••••••• I••• (Mobile, AL) for L•••••• I••••••••• M••••••••• I••• on the same dayFeb 18, 2026 · Team lift-out · derived
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