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
Mitchell, Mcleod, Pugh & Williams, Inc.
Legal name Mitchell, Mcleod, Pugh & Williams, Inc.
Latest filing Jul 30, 2026
First filing on the tape Mar 29, 2012 · 26 filings
SEC status approved since Jan 13, 2006
RAUM
$2.7B
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
65%
$1.7B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$266M
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.7B as of Jul 30, 2026
Mar 29, 2012$370M then
HNW client RAUM$1.6B as of Jul 30, 2026
Mar 21, 2018$507M then
State-registered IARs (5.B.3)9 as of Jul 30, 2026
Mar 29, 20120 then
Employees (5.A)17 as of Jul 30, 2026
Mar 26, 20139 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Jul 30, 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
- 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
- $266MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- 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, publications, otherreportedItem 5.G
- Custody
- $6.2M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B59%
- Pension and profit-sharing plans$776M29%
- Individuals$170M6.4%
- Charitable organizations$92.7M3.5%
- Corporations and businesses$38.3M1.4%
- State and municipal entities$11.5M0.4%
- Individual clients
- 538reported
- HNW clients
- 397reported
- Pension plan clients
- 76reported
- Charitable clients
- 12reported
- Accounts
- 2,420reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.2M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Mitchell | Mobile, Al | Jan 18, 2007 | 35 y | 1 |
| Kyle Clarke Pugh | Mobile, Al | Jan 19, 2007 | 23 y | 1 |
| Douglas Reed Mcleod | Mobile, Al | Jan 24, 2007 | 33 y | 1 |
| Katherine Mehlburger Mcginley | Mobile, Al | Jan 6, 2009 | 20 y | 0 |
| Thomas Bragg Van Antwerp | Mobile, Al | Apr 11, 2013 | 25 y | 0 |
| Robert Alexander Arendall | Mobile, Al | Apr 30, 2021 | 14 y | 0 |
| Michael Frank Barnett | Mobile, Al | Jul 6, 2022 | 12 y | 2 |
| Gray Acker Ingle | Mobile, Al | Nov 11, 2024 | 13 y | 1 |
| Thomas Fellows Iturbe | Mobile, Al | Jun 12, 2025 | 10 y | 0 |
| Selwyn Horace TurnerChartered Financial Analyst | Mobile, Al | Jul 31, 2026 | 10 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
- Gray Acker Ingle from Newport Group Consulting, LLCNov 11, 2024 · Other
- Michael Frank Barnett from Morgan StanleyJul 6, 2022 · Wirehouse to independent RIA
- Douglas Reed Mcleod from Leavell Investment Management, Inc.Jan 24, 2007 · Other
- Kyle Clarke Pugh from Leavell Investment Management, Inc.Jan 19, 2007 · Other
- Richard Mitchell from Leavell Investment Management, Inc.Jan 18, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Reed Douglas Mcleod · Director/Shareholder/ Presidentcontrolsince 01/2006 · owns 10% to 25%
- Clarke Kyle Pugh · Director/Shareholder/Vice President/Secretary/Treasurercontrolsince 01/2006 · owns 10% to 25%
- Bragg Thomas Van Antwerp · Director/Shareholder/Vice Presidentcontrolsince 04/2015 · owns 10% to 25%
- Alexander Robert Arendall · Vice President/Shareholdersince 02/2022 · owns 10% to 25%
- Frank Michael Barnett · Vice President/Shareholdersince 07/2024 · owns 5% to 10%
- James John Crowley · Shareholdersince 01/2023 · owns less than 5%
- Acker Gray Ingle · Shareholdersince 01/2023 · owns less than 5%
- Mehlburger Katherine Mcginley · Chief Compliance Officer/Shareholdersince 01/2006 · owns 5% to 10%
- Richard Mitchell · Shareholdersince 01/2006 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Mobile, Al · principal | 10 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $5.0M to $6.2MMar 26, 2026 to Jul 30, 2026
- Employees · 15 to 17Mar 26, 2026 to Jul 30, 2026
- HQ city · to MOBILEMar 26, 2026 to Jul 30, 2026
- HQ state · to ALMar 26, 2026 to Jul 30, 2026
- Accounts · 2,394 to 2,420Dec 22, 2025 to Mar 26, 2026
- HNW clients · 398 to 397Dec 22, 2025 to Mar 26, 2026
- Individual clients · 527 to 538Dec 22, 2025 to Mar 26, 2026
- Pension plan clients · 77 to 76Dec 22, 2025 to Mar 26, 2026
- Assets in custody · $5.0M to $5.0MDec 22, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.9B to $1.9BDec 22, 2025 to Mar 26, 2026
- HNW RAUM · $1.6B to $1.6BDec 22, 2025 to Mar 26, 2026
- Individual RAUM · $168M to $170MDec 22, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $799M to $750MDec 22, 2025 to Mar 26, 2026
- Pension RAUM · $821M to $776MDec 22, 2025 to Mar 26, 2026
- RAUM · $2.7B to $2.7BDec 22, 2025 to Mar 26, 2026
- Accounts · 2,176 to 2,394Mar 28, 2025 to Dec 22, 2025
- Advisory employees · 10 to 9Mar 28, 2025 to Dec 22, 2025
- HNW clients · 379 to 398Mar 28, 2025 to Dec 22, 2025
- Individual clients · 483 to 527Mar 28, 2025 to Dec 22, 2025
- Pension plan clients · 68 to 77Mar 28, 2025 to Dec 22, 2025
- Assets in custody · $4.7M to $5.0MMar 28, 2025 to Dec 22, 2025
- Employees · 16 to 15Mar 28, 2025 to Dec 22, 2025
- State-registered IARs · 10 to 9Mar 28, 2025 to Dec 22, 2025
- Discretionary RAUM · $1.6B to $1.9BMar 28, 2025 to Dec 22, 2025
- HNW RAUM · $1.3B to $1.6BMar 28, 2025 to Dec 22, 2025
- Individual RAUM · $126M to $168MMar 28, 2025 to Dec 22, 2025
- Non-discretionary RAUM · $630M to $799MMar 28, 2025 to Dec 22, 2025
- Pension RAUM · $658M to $821MMar 28, 2025 to Dec 22, 2025
- RAUM · $2.3B to $2.7BMar 28, 2025 to Dec 22, 2025
- Accounts · 2,083 to 2,176Mar 26, 2024 to Mar 28, 2025
- Advisory employees · 9 to 10Mar 26, 2024 to Mar 28, 2025
- Charity clients · 10 to 12Mar 26, 2024 to Mar 28, 2025
- Corporate clients · 21 to 22Mar 26, 2024 to Mar 28, 2025
- HNW clients · 336 to 379Mar 26, 2024 to Mar 28, 2025
- Individual clients · 494 to 483Mar 26, 2024 to Mar 28, 2025
- Pension plan clients · 69 to 68Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $4.5M to $4.7MMar 26, 2024 to Mar 28, 2025
- Employees · 15 to 16Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Mar 28, 2025
- HQ city · unset to Mar 26, 2024 to Mar 28, 2025
Signals
1 dated events
- Carmen Marion Williams (Director/Shareholder/Vice President) no longer on Schedule A of Mitchell, Mcleod, Pugh & Williams, Inc. (listed 2020-06-24, absent 2021-01-26)Jan 26, 2021 · Control person left · inference
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
- Firm profile
- linkedin.com/company/mitchell-mcleod-pugh-&-williamsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MMPW.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 251-471-2027reportedpublic record, Form ADV, Jul 30, 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
- $266Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026