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

H••••••• G••• S•••••• M••••••••• L••

Former SEC-registered adviserBirmingham, AlabamaCRD 138823SEC 801-65217IAPD
Latest filing Apr 1, 2013
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$54.4M
reported, Item 5.F
Discretionary
0.0%
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
3
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$68.8M gross assets
History
5 filings and snapshots on the tape
RAUM$54.4M as of Apr 1, 2013
Mar 29, 2012$114M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 29, 20120 then
Employees (5.A): 3
Private funds2 as of Apr 1, 2013
Mar 29, 20122 then
RAUM -52% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$27.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-52%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$54.4M, 2 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
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$54.4M for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• G••• S•••••• G••••• B••• F•••• L•••Hedge Fund$63.9M1Mar 29, 2012
      T•• G••• S•••••• E••••••• F•••• L••Hedge Fund$4.9M14Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• W••••••• T••••• · Manager/Chief Compliance Officercontrol
        since 03/2003 · owns less than 5%
      • M••••• W••••••• T••••• · Managing Membercontrol
        since 07/2003 · owns 75% or more of T•• M•••• F•••••• L••
      Entity owners
      • T•• M•••• F•••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • H••••••• I••••••••• L••
        pooled vehicle sponsorn
      • H••••••• S••••••••• L••
        pooled vehicle sponsorn
      • K••••••••• M••••••••• C••• L•••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $54.5M to $54.4M
        Mar 1, 2013 to Apr 1, 2013
      • Non-discretionary RAUM · $54.5M to $54.4M
        Mar 1, 2013 to Apr 1, 2013
      • RAUM · $54.5M to $54.4M
        Mar 1, 2013 to Apr 1, 2013
      • Advisory employees · unset to 0.0
        May 11, 2012 to Mar 1, 2013
      • Assets in custody · $114M to $54.5M
        May 11, 2012 to Mar 1, 2013
      • Employees · unset to 3.0
        May 11, 2012 to Mar 1, 2013
      • Non-discretionary RAUM · $114M to $54.5M
        May 11, 2012 to Mar 1, 2013
      • RAUM · $114M to $54.5M
        May 11, 2012 to Mar 1, 2013
      • Related adviser · true to false
        May 11, 2012 to Mar 1, 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