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.

Former SEC-registered adviser

Sterne Agee Asset Management, Inc.

Former SEC-registered adviserBirmingham, AlabamaCRD 130888SEC 801-63297IAPD
Latest filing Jun 5, 2017
First filing on the tape Jan 3, 2012 · 18 filings
RAUM
$10.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$10.4M as of Dec 19, 2016
Jan 3, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Dec 19, 2016
Jan 3, 2013270 then
Employees (5.A)8 as of Dec 19, 2016
Jan 3, 2013285 then
Private funds: no history
RAUM -99% over the last fiscal year-83% a year over threeIARs 115 to 3
Practice profile
derived from the filing of Jun 5, 2017; every figure names its basis
RAUM per advisor
$3.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$104,571derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-99%derivedbetween the last two annual amendments
Advisor growth, one year
-97%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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 advisersreportedItem 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
99reported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Francis John Calvano · Chief Compliance Officercontrol
      since 03/2011 · owns less than 5%
    • John William Dunaway · Directorcontrol
      since 08/2016 · owns less than 5%
    • Lee Daniel Garrett · Chief Executive Officercontrol
      since 04/2016 · owns less than 5%
    • Marie Patricia Harrod · Directorcontrol
      since 08/2016 · owns less than 5%
    • Martin Charles Lyon · Directorcontrol
      since 08/2016 · owns less than 5%
    • Tho Xuong Nguyen · Directorcontrol
      since 08/2016 · owns less than 5%
    • Michael Sean O'Connor · Directorcontrol
      since 08/2016 · owns less than 5%
    • Trigger Brian Sephton · Directorcontrol
      since 08/2016 · owns less than 5%
    • Fred Conner Wagstaff · Chief Financial Officercontrol
      since 12/2015 · owns less than 5%
    Entity owners
    • Intl Fcstone Inc · 100% Owner
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Sterne Agee Asset Management, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Birmingham, AL
    What changed
    consecutive filings, newest first
    • Accounts · 98 to 99
      Sep 1, 2016 to Dec 19, 2016
    • Assets in custody · 0.0 to unset
      Sep 1, 2016 to Dec 19, 2016
    • Employees · 13 to 8
      Sep 1, 2016 to Dec 19, 2016
    • Insurance-licensed employees · 3 to 2
      Sep 1, 2016 to Dec 19, 2016
    • Discretionary RAUM · $10.4M to $10.4M
      Sep 1, 2016 to Dec 19, 2016
    • RAUM · $10.4M to $10.4M
      Sep 1, 2016 to Dec 19, 2016
    • Accounts · 2,859 to 98
      Aug 2, 2016 to Sep 1, 2016
    • Advisory employees · 115 to 2
      Aug 2, 2016 to Sep 1, 2016
    • BD registered reps · 115 to 4
      Aug 2, 2016 to Sep 1, 2016
    • Employees · 118 to 13
      Aug 2, 2016 to Sep 1, 2016
    • Insurance-licensed employees · 1 to 3
      Aug 2, 2016 to Sep 1, 2016
    • Financial planning clients · 101-250 to 1-10
      Aug 2, 2016 to Sep 1, 2016
    • State-registered IARs · 115 to 3
      Aug 2, 2016 to Sep 1, 2016
    • Discretionary RAUM · $403M to $10.4M
      Aug 2, 2016 to Sep 1, 2016
    • Non-discretionary RAUM · $291M to $0
      Aug 2, 2016 to Sep 1, 2016
    • RAUM · $694M to $10.4M
      Aug 2, 2016 to Sep 1, 2016
    • Related insurance company · true to false
      Jul 29, 2016 to Jul 29, 2016
    • Accounts · 8,103 to 2,859
      Jul 15, 2015 to Dec 28, 2015
    • Advisory employees · 270 to 115
      Jul 15, 2015 to Dec 28, 2015
    • BD registered reps · 270 to 115
      Jul 15, 2015 to Dec 28, 2015
    • Employees · 285 to 118
      Jul 15, 2015 to Dec 28, 2015
    • Financial planning clients · 251-500 to 101-250
      Jul 15, 2015 to Dec 28, 2015
    • State-registered IARs · 270 to 115
      Jul 15, 2015 to Dec 28, 2015
    • Discretionary RAUM · $1.3B to $403M
      Jul 15, 2015 to Dec 28, 2015
    • Non-discretionary RAUM · $901M to $291M
      Jul 15, 2015 to Dec 28, 2015
    • RAUM · $2.2B to $694M
      Jul 15, 2015 to Dec 28, 2015
    • Related insurance company · false to true
      Jul 15, 2015 to Dec 28, 2015
    • Accounts · 7,800 to 8,103
      Dec 13, 2013 to Dec 23, 2014
    • Business name · STERNE AGEE INVESTMENT ADVISORS, INC. to STERNE AGEE ASSET MANAGEMENT, INC.
      Dec 13, 2013 to Dec 23, 2014
    • Financial planning clients · 1-10 to 251-500
      Dec 13, 2013 to Dec 23, 2014
    • Legal name · STERNE AGEE INVESTMENT ADVISORS, INC. to STERNE AGEE ASSET MANAGEMENT, INC.
      Dec 13, 2013 to Dec 23, 2014
    • Discretionary RAUM · $1.1B to $1.3B
      Dec 13, 2013 to Dec 23, 2014
    • Non-discretionary RAUM · $863M to $901M
      Dec 13, 2013 to Dec 23, 2014
    • RAUM · $2.0B to $2.2B
      Dec 13, 2013 to Dec 23, 2014
    • Accounts · 8,383 to 7,800
      Jan 3, 2013 to Dec 13, 2013
    • Advisory activities · 4 to 5
      Jan 3, 2013 to Dec 13, 2013
    • Custody of client assets · true to false
      Jan 3, 2013 to Dec 13, 2013
    • Insurance-licensed employees · 0 to 1
      Jan 3, 2013 to Dec 13, 2013
    • Discretionary RAUM · $1.1B to $1.1B
      Jan 3, 2013 to Dec 13, 2013
    • Non-discretionary RAUM · $767M to $863M
      Jan 3, 2013 to Dec 13, 2013
    Signals
    No event on the tape.
    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