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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••••• A•••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Feb 16, 2012 · 22 filings
SEC status approved since Mar 20, 2018
RAUM
$160M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$160M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$160M as of Mar 19, 2026
Feb 16, 2012$58.8M then
HNW client RAUM$131M as of Mar 19, 2026
Jan 23, 2019$72.1M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Feb 16, 20120 then
Employees (5.A)3 as of Mar 19, 2026
Jan 23, 20193 then
Private funds: no history
RAUM +7.4% over the last fiscal year+6.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 185derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $394,992derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M82%
- Individuals$28.1M18%
- Individual clients
- 103reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 404reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• M•••••• H••••Certified Financial Planner | Mobile, Al | Feb 24, 2005 | 39 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• S••••••• M•••••• · President, Chief Compliance Officercontrolsince 03/1996 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 19, 2026HNW share of RAUM moved from 43.0% to 82.0% between the annual amendments of 2025-02-18 and 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 399 to 404Feb 18, 2025 to Feb 25, 2026
- HNW clients · 88 to 82Feb 18, 2025 to Feb 25, 2026
- Individual clients · 92 to 103Feb 18, 2025 to Feb 25, 2026
- Discretionary RAUM · $147M to $157MFeb 18, 2025 to Feb 25, 2026
- HNW RAUM · $64.1M to $131MFeb 18, 2025 to Feb 25, 2026
- Individual RAUM · $84.5M to $28.1MFeb 18, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $1.3M to $2.7MFeb 18, 2025 to Feb 25, 2026
- RAUM · $149M to $160MFeb 18, 2025 to Feb 25, 2026
- Accounts · 362 to 399Mar 13, 2024 to Feb 18, 2025
- HNW clients · 70 to 88Mar 13, 2024 to Feb 18, 2025
- Individual clients · 106 to 92Mar 13, 2024 to Feb 18, 2025
- Financial planning clients · 26-50 to 26-50Mar 13, 2024 to Feb 18, 2025
- Discretionary RAUM · $143M to $147MMar 13, 2024 to Feb 18, 2025
- HNW RAUM · $108M to $64.1MMar 13, 2024 to Feb 18, 2025
- Individual RAUM · $36.7M to $84.5MMar 13, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $1.1M to $1.3MMar 13, 2024 to Feb 18, 2025
- RAUM · $144M to $149MMar 13, 2024 to Feb 18, 2025
- Accounts · 366 to 362Jun 8, 2023 to Mar 13, 2024
- HNW clients · 46 to 70Jun 8, 2023 to Mar 13, 2024
- Individual clients · 125 to 106Jun 8, 2023 to Mar 13, 2024
- Discretionary RAUM · $130M to $143MJun 8, 2023 to Mar 13, 2024
- HNW RAUM · $80.8M to $108MJun 8, 2023 to Mar 13, 2024
- Individual RAUM · $50.6M to $36.7MJun 8, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $1.1M to $1.1MJun 8, 2023 to Mar 13, 2024
- RAUM · $131M to $144MJun 8, 2023 to Mar 13, 2024
- Accounts · 352 to 366Feb 7, 2022 to Jan 25, 2023
- HNW clients · 67 to 46Feb 7, 2022 to Jan 25, 2023
- Individual clients · 104 to 125Feb 7, 2022 to Jan 25, 2023
- Discretionary RAUM · $153M to $130MFeb 7, 2022 to Jan 25, 2023
- HNW RAUM · $116M to $80.8MFeb 7, 2022 to Jan 25, 2023
- Individual RAUM · $38.2M to $50.6MFeb 7, 2022 to Jan 25, 2023
- Non-discretionary RAUM · $1.3M to $1.1MFeb 7, 2022 to Jan 25, 2023
- RAUM · $155M to $131MFeb 7, 2022 to Jan 25, 2023
- Accounts · 398 to 352Feb 22, 2021 to Feb 7, 2022
- HNW clients · 61 to 67Feb 22, 2021 to Feb 7, 2022
- Individual clients · 118 to 104Feb 22, 2021 to Feb 7, 2022
- Discretionary RAUM · $139M to $153MFeb 22, 2021 to Feb 7, 2022
- HNW RAUM · $99.5M to $116MFeb 22, 2021 to Feb 7, 2022
- Individual RAUM · $41.1M to $38.2MFeb 22, 2021 to Feb 7, 2022
- Non-discretionary RAUM · $1.2M to $1.3MFeb 22, 2021 to Feb 7, 2022
Signals
1 dated events
- R••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 16, 2018 · 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
- d•••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 251-343-7420reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 251-344-0707reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 251-344-0707reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026