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
L••••••••• C••••••• I•••
Latest filing Aug 1, 2025
First filing on the tape Aug 26, 2022 · 9 filings
SEC status approved since Sep 26, 2022
RAUM
$159M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$159M as of Aug 1, 2025
Mar 28, 2023$109M then
HNW client RAUM$25.8M as of Aug 1, 2025
Mar 28, 2023$18.1M then
State-registered IARs (5.B.3)4 as of Aug 1, 2025
Mar 28, 20233 then
Employees (5.A)4 as of Aug 1, 2025
Mar 28, 20234 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Aug 1, 2025; every figure names its basis
- RAUM per advisor
- $39.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $98,002derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$133M84%
- High-net-worth individuals$25.8M16%
- Corporations and businesses$278,9490.2%
- Individual clients
- 564reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,625reported
- Financial planning clients
- 1-10reported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- E•••••••• A•• S••••• to V•••• C•••••• P•••••••• L••Oct 22, 2025 · RIA to RIA
- S•••••• J•• W••••••• to V•••• C•••••• P•••••••• L••Oct 22, 2025 · RIA to RIA
- M•••••• D•••• J•••• to V•••• C•••••• P•••••••• L••Oct 22, 2025 · RIA to RIA
- B••••••• G••••• W••••••• to V•••• C•••••• P•••••••• L••Oct 22, 2025 · RIA to RIA
Joined, latest
- B••••••• G••••• W••••••• from N••• F•••••••• G••••• I•••Apr 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• D•••• J•••• from N••• F•••••••• G••••• I•••Jan 12, 2012 · Other
- S•••••• J•• W••••••• from S•• A•••••••• I•••Feb 25, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for V•••• C•••••• P•••••••• L••Oct 22, 2025 · Madison, Al · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• M••••••• D•••• · President / Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- W•••••••• S••••••• J•• · Ownercontrolsince 11/2001 · owns 50% to 75%
- W•••••••• D••••• N•••• · Owner / Secretarysince 11/2001 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Madison, Al · principal | 0 | 0 | 3 | ||
| Huntsville, Al | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Apr 18, 2025 to May 27, 2025
- BD registered reps · 3 to 4Apr 18, 2025 to May 27, 2025
- Employees · 3 to 4Apr 18, 2025 to May 27, 2025
- Financial planning clients · 1-10 to 1-10Apr 18, 2025 to May 27, 2025
- State-registered IARs · 3 to 4Apr 18, 2025 to May 27, 2025
- Other offices · 0 to 1Apr 18, 2025 to May 27, 2025
- Accounts · 1,385 to 1,625Mar 27, 2024 to Apr 18, 2025
- BD registered reps · 4 to 3Mar 27, 2024 to Apr 18, 2025
- Corporate clients · 1 to 2Mar 27, 2024 to Apr 18, 2025
- HNW clients · 35 to 23Mar 27, 2024 to Apr 18, 2025
- Individual clients · 504 to 564Mar 27, 2024 to Apr 18, 2025
- Employees · 4 to 3Mar 27, 2024 to Apr 18, 2025
- Financial planning clients · 11-25 to 1-10Mar 27, 2024 to Apr 18, 2025
- Discretionary RAUM · $124M to $156MMar 27, 2024 to Apr 18, 2025
- HNW RAUM · $31.1M to $25.8MMar 27, 2024 to Apr 18, 2025
- Individual RAUM · $93.3M to $133MMar 27, 2024 to Apr 18, 2025
- Non-discretionary RAUM · $2.0M to $2.8MMar 27, 2024 to Apr 18, 2025
- RAUM · $126M to $159MMar 27, 2024 to Apr 18, 2025
- Accounts · 1,469 to 1,385Aug 4, 2023 to Mar 27, 2024
- Corporate clients · unset to 1.0Aug 4, 2023 to Mar 27, 2024
- HNW clients · 101 to 35Aug 4, 2023 to Mar 27, 2024
- Individual clients · 393 to 504Aug 4, 2023 to Mar 27, 2024
- Discretionary RAUM · $120M to $124MAug 4, 2023 to Mar 27, 2024
- HNW RAUM · $24.0M to $31.1MAug 4, 2023 to Mar 27, 2024
- Individual RAUM · $96.2M to $93.3MAug 4, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $0 to $2.0MAug 4, 2023 to Mar 27, 2024
- RAUM · $120M to $126MAug 4, 2023 to Mar 27, 2024
- Discretionary RAUM · $109M to $120MApr 12, 2023 to Aug 4, 2023
- HNW RAUM · $18.1M to $24.0MApr 12, 2023 to Aug 4, 2023
- Individual RAUM · $91.2M to $96.2MApr 12, 2023 to Aug 4, 2023
- RAUM · $109M to $120MApr 12, 2023 to Aug 4, 2023
- Accounts · 1,406 to 1,469Oct 8, 2022 to Mar 28, 2023
- HNW clients · 127 to 101Oct 8, 2022 to Mar 28, 2023
- Individual clients · 428 to 393Oct 8, 2022 to Mar 28, 2023
- Employees · 5 to 4Oct 8, 2022 to Mar 28, 2023
- State-registered IARs · 4 to 3Oct 8, 2022 to Mar 28, 2023
- Discretionary RAUM · $110M to $109MOct 8, 2022 to Mar 28, 2023
- HNW RAUM · $24.2M to $18.1MOct 8, 2022 to Mar 28, 2023
- Individual RAUM · $85.9M to $91.2MOct 8, 2022 to Mar 28, 2023
- RAUM · $110M to $109MOct 8, 2022 to Mar 28, 2023
Signals
7 dated events
- L••••••••• C••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $159.3M)Dec 20, 2025 · Left the SEC roster · derived
- B••••••• G••••• W••••••• left L••••••••• C••••••• I••• for V•••• C•••••• P•••••••• L•• (registered 2025-10-16)Oct 22, 2025 · Advisor changed firm · fact
- L••••••••• C••••••• I•••'s advisors moved to V•••• C•••••• P•••••••• L•• (Madison, AL): 4 of 4 registered, on the same dayOct 22, 2025 · Firm absorbed (people side) · derived
- E•••••••• A•• S••••• left L••••••••• C••••••• I••• for V•••• C•••••• P•••••••• L•• (registered 2025-10-15)Oct 22, 2025 · Advisor changed firm · fact
- S•••••• J•• W••••••• left L••••••••• C••••••• I••• for V•••• C•••••• P•••••••• L•• (registered 2025-10-17)Oct 22, 2025 · Advisor changed firm · fact
- M•••••• D•••• J•••• left L••••••••• C••••••• I••• for V•••• C•••••• P•••••••• L•• (registered 2025-10-15)Oct 22, 2025 · Advisor changed firm · fact
- L••••••••• C••••••• I••• filed its initial SEC registration (Form ADV)Aug 26, 2022 · 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.
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