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.
SEC-registered adviser
Kassouf Wealth Advisors, LLC
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Nov 13, 2006
RAUM
$471M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$363M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$78.6M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$471M as of Mar 20, 2026
Mar 30, 2012$118M then
HNW client RAUM$337M as of Mar 20, 2026
Mar 29, 2018$187M then
State-registered IARs (5.B.3)6 as of Mar 20, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Mar 20, 2026
Apr 2, 20137 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $78.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $44.8M, 23 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$337M72%
- Pension and profit-sharing plans$105M22%
- Individuals$25.2M5.3%
- Charitable organizations$3.2M0.7%
- Corporations and businesses$559,1530.1%
- Individual clients
- 86reported
- HNW clients
- 112reported
- Pension plan clients
- 39reported
- Charitable clients
- n/areported
- Accounts
- 440reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.8M for 23 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Paul KassoufCertified Financial Planner | Birmingham, Al | Mar 21, 2000 | 51 y | 0 |
| Gerard Joseph KassoufCertified Financial Planner | Birmingham, Al | Mar 21, 2000 | 51 y | 0 |
| Michelle Grunewald PikeCertified Financial Planner | Birmingham, Al | Sep 9, 2003 | 26 y | 0 |
| Jonathan Gerard KassoufPersonal Financial Specialist | Birmingham, Al | Jan 13, 2020 | 18 y | 0 |
| Shannon Jon PikeCertified Financial Planner | Birmingham, Al | Nov 28, 2022 | 27 y | 6 |
| Caroline Calton GayleCertified Financial Planner | Birmingham, Al | Mar 6, 2024 | 14 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 headcount1 left over 36 months
Left, latest
- Hampe Farmer to Fidelity Personal And Workplace AdvisorsDec 5, 2023 · RIA to affiliated broker-dealer or bank
- Kathryn V Davis to Pelican Investment Advisors, LLCMay 17, 2021 · RIA to a newly registered adviser
- Jerry D Callahan to Tabula Rasa, LLCJul 10, 2018 · RIA to a newly registered adviser
Joined, latest
- Hampe Farmer from Raymond James & Associates, Inc.Feb 22, 2023 · Affiliated broker-dealer or bank to independent RIA
- Shannon Jon Pike from Tanglewood Legacy Advisors, LLCNov 28, 2022 · RIA to RIA
- Kathryn V Davis from Morgan Stanley & Co. LLCAug 21, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Paul David Kassouf · Membercontrolsince 12/1999 · owns 50% to 75%
- Joseph Gerard Kassouf · Membercontrolsince 12/1999 · owns 50% to 75%
- Jon Shannon Pike · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Kassouf & Co., P.C.insurancen
- Kassouf Retirement Plan Services, LLCLP sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 421 to 440Mar 28, 2025 to Mar 20, 2026
- Advisory employees · 7 to 6Mar 28, 2025 to Mar 20, 2026
- HNW clients · 96 to 112Mar 28, 2025 to Mar 20, 2026
- Pension plan clients · 46 to 39Mar 28, 2025 to Mar 20, 2026
- Assets in custody · $124M to $44.8MMar 28, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 11-25Mar 28, 2025 to Mar 20, 2026
- State-registered IARs · 7 to 6Mar 28, 2025 to Mar 20, 2026
- Discretionary RAUM · $402M to $471MMar 28, 2025 to Mar 20, 2026
- HNW RAUM · $282M to $337MMar 28, 2025 to Mar 20, 2026
- Individual RAUM · $22.5M to $25.2MMar 28, 2025 to Mar 20, 2026
- Pension RAUM · $94.7M to $105MMar 28, 2025 to Mar 20, 2026
- RAUM · $402M to $471MMar 28, 2025 to Mar 20, 2026
- Accounts · 389 to 421Oct 29, 2024 to Mar 28, 2025
- HNW clients · 132 to 96Oct 29, 2024 to Mar 28, 2025
- Individual clients · 100 to 86Oct 29, 2024 to Mar 28, 2025
- Pension plan clients · 43 to 46Oct 29, 2024 to Mar 28, 2025
- Assets in custody · $127M to $124MOct 29, 2024 to Mar 28, 2025
- Employees · 8 to 10Oct 29, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 1-10Oct 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $370M to $402MOct 29, 2024 to Mar 28, 2025
- HNW RAUM · $250M to $282MOct 29, 2024 to Mar 28, 2025
- Individual RAUM · $32.2M to $22.5MOct 29, 2024 to Mar 28, 2025
- Pension RAUM · $85.5M to $94.7MOct 29, 2024 to Mar 28, 2025
- RAUM · $370M to $402MOct 29, 2024 to Mar 28, 2025
- Other offices · 1 to 0Mar 26, 2024 to Oct 29, 2024
- Accounts · 367 to 389Nov 8, 2023 to Mar 26, 2024
- HNW clients · 127 to 132Nov 8, 2023 to Mar 26, 2024
- Individual clients · 94 to 100Nov 8, 2023 to Mar 26, 2024
- Pension plan clients · 45 to 43Nov 8, 2023 to Mar 26, 2024
- Assets in custody · $17.0M to $127MNov 8, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 11-25Nov 8, 2023 to Mar 26, 2024
- Discretionary RAUM · $318M to $370MNov 8, 2023 to Mar 26, 2024
- HNW RAUM · $203M to $250MNov 8, 2023 to Mar 26, 2024
- Individual RAUM · $25.7M to $32.2MNov 8, 2023 to Mar 26, 2024
- Pension RAUM · $86.7M to $85.5MNov 8, 2023 to Mar 26, 2024
- RAUM · $318M to $370MNov 8, 2023 to Mar 26, 2024
- Accounts · 387 to 367Mar 31, 2022 to Mar 27, 2023
- Advisory employees · 5 to 7Mar 31, 2022 to Mar 27, 2023
- Charity clients · 2.0 to unsetMar 31, 2022 to Mar 27, 2023
- Corporate clients · 0.0 to unsetMar 31, 2022 to Mar 27, 2023
Signals
2 dated events
- Hampe Farmer left Kassouf Wealth Advisors, Llc for Fidelity Personal And Workplace Advisors (registered 2024-04-17)Dec 5, 2023 · Advisor changed firm · fact
- Jon Shannon Pike (Chief Compliance Officer) appeared on Schedule A of Kassouf Wealth Advisors, LlcMar 27, 2023 · Control person joined · 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
- mcarney@kassoufwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 205-776-0101reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 205-776-0100reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- KASSOUFWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 205-776-0100reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- kassoufwealth.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $78.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026