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
Mainsail Asset Management, LLC
Latest filing Jul 15, 2026
First filing on the tape Mar 26, 2012 · 37 filings
SEC status approved since Jan 12, 2007
RAUM
$599M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
62%
$372M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$599M as of Jul 15, 2026
Mar 26, 2012$98.1M then
HNW client RAUM$349M as of Jul 15, 2026
Mar 30, 2018$132M then
State-registered IARs (5.B.3)4 as of Jul 15, 2026
Mar 8, 20130 then
Employees (5.A)7 as of Jul 15, 2026
Mar 8, 20133 then
Private funds4 as of Jul 15, 2026
Mar 29, 20223 then
RAUM +46% over the last fiscal year+29% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $673,579derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $221M, 53 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$349M58%
- Pooled investment vehicles$134M22%
- Corporations and businesses$80.1M13%
- Individuals$23.5M3.9%
- Pension and profit-sharing plans$8.7M1.4%
- Charitable organizations$4.3M0.7%
- Individual clients
- 51reported
- HNW clients
- 91reported
- Pension plan clients
- 5reported
- Charitable clients
- 12reported
- Accounts
- 889reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $221M for 53 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.62 fund_share=0.22 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Harvey ParsonsPersonal Financial Specialist | Birmingham, Al | Oct 14, 2003 | 23 y | 0 |
| Andrew Hagan BrignacCertified Financial Planner | Birmingham, Al | Nov 11, 2019 | 13 y | 0 |
| William Brandon Gooding | Birmingham, Al | Sep 3, 2024 | 16 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
- William Brandon Gooding from Northwestern Mutual Investment Services,LLCSep 3, 2024 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| First Avenue Funding, LLC | Other Private Fund | $60.4M | 101 | Mar 29, 2022 |
| First Avenue Bridge Equity, LLC | Other Private Fund | $53.3M | 83 | Mar 29, 2022 |
| First Avenue Private Partners, LLC | Private Equity Fund | $3.5M | 12 | Mar 25, 2023 |
| First Avenue Infrastructure II, LLC | Other Private Fund | $3.1M | 11 | Mar 25, 2023 |
| First Avenue Infrastructure, LLC | Private Equity Fund | $0 | 0 | Mar 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Hagan Andrew Brignac · Membercontrolsince 01/2023 · owns 10% to 25%
- Harvey William Parsons · Chief Compliance Officer / Managing Membercontrolsince 08/2003 · 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 |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $410,149,620 to $598,811,962 (+46.0%) between the annual amendments of 2025-03-21 and 2026-03-20; the peer median change was +16.0% (1386 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,386) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 740 to 889Mar 21, 2025 to Mar 20, 2026
- Charity clients · 13 to 12Mar 21, 2025 to Mar 20, 2026
- Corporate clients · 15 to 24Mar 21, 2025 to Mar 20, 2026
- HNW clients · 83 to 91Mar 21, 2025 to Mar 20, 2026
- Individual clients · 37 to 51Mar 21, 2025 to Mar 20, 2026
- Pension plan clients · unset to 5.0Mar 21, 2025 to Mar 20, 2026
- Assets in custody · $97.9M to $221MMar 21, 2025 to Mar 20, 2026
- Discretionary RAUM · $240M to $412MMar 21, 2025 to Mar 20, 2026
- HNW RAUM · $256M to $349MMar 21, 2025 to Mar 20, 2026
- Individual RAUM · $11.3M to $23.5MMar 21, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $170M to $187MMar 21, 2025 to Mar 20, 2026
- Pension RAUM · $7.0M to $8.7MMar 21, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $124M to $134MMar 21, 2025 to Mar 20, 2026
- RAUM · $410M to $599MMar 21, 2025 to Mar 20, 2026
- Accounts · 630 to 740Apr 2, 2024 to Mar 21, 2025
- Advisory employees · 3 to 4Apr 2, 2024 to Mar 21, 2025
- Charity clients · 12 to 13Apr 2, 2024 to Mar 21, 2025
- Corporate clients · 9 to 15Apr 2, 2024 to Mar 21, 2025
- HNW clients · 78 to 83Apr 2, 2024 to Mar 21, 2025
- Individual clients · 25 to 37Apr 2, 2024 to Mar 21, 2025
- Pooled vehicle clients · 4 to 5Apr 2, 2024 to Mar 21, 2025
- Assets in custody · $198M to $97.9MApr 2, 2024 to Mar 21, 2025
- Employees · 6 to 7Apr 2, 2024 to Mar 21, 2025
- Financial planning clients · 26-50 to 51-100Apr 2, 2024 to Mar 21, 2025
- State-registered IARs · 3 to 4Apr 2, 2024 to Mar 21, 2025
- Other offices · 0 to 1Apr 2, 2024 to Mar 21, 2025
- Private funds · 5 to 4Apr 2, 2024 to Mar 21, 2025
- Discretionary RAUM · $344M to $240MApr 2, 2024 to Mar 21, 2025
- HNW RAUM · $204M to $256MApr 2, 2024 to Mar 21, 2025
- Individual RAUM · $9.8M to $11.3MApr 2, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $0 to $170MApr 2, 2024 to Mar 21, 2025
- Pension RAUM · $5.7M to $7.0MApr 2, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $119M to $124MApr 2, 2024 to Mar 21, 2025
- RAUM · $344M to $410MApr 2, 2024 to Mar 21, 2025
- Accounts · 588 to 630Oct 16, 2023 to Mar 29, 2024
- Charity clients · 11 to 12Oct 16, 2023 to Mar 29, 2024
- Corporate clients · 6 to 9Oct 16, 2023 to Mar 29, 2024
- HNW clients · 92 to 78Oct 16, 2023 to Mar 29, 2024
- Individual clients · 53 to 25Oct 16, 2023 to Mar 29, 2024
- Pension plan clients · 4.0 to unsetOct 16, 2023 to Mar 29, 2024
Signals
1 dated events
- Mainsail Asset Management, Llc reported RAUM $598.8M, up 46% from $410.1M (2025-03-21 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Mainsail Asset Management, LLC · Independent Sponsorsshared crd · capital_provider
- Mainsail Asset Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- kelly@investprudently.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-536-7776reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- investprudently.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 205-536-7776reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- investprudently.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- investprudently.com/team-previewreportedpublished 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026