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Former SEC-registered adviserFormer SEC adviser· Irondale, Alabama

Former SEC-registered adviser, based in Irondale, Alabama, reporting $69.8M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$69.8M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-69%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 155572 · SEC 801-72089 · 11 filingsShow
CRD 155572SEC 801-72089First filing on the tape Nov 7, 2011, latest Oct 30, 2013IAPD
RAUM
$69.8M
reported, Item 5.F
Discretionary
90%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$105M as of Feb 28, 2013
Mar 30, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 28, 2013
Mar 30, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM -69% over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Oct 30, 2013; every figure names its basis
RAUM per advisor
$23.3MderivedRAUM 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
$34.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
90%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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-54%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
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
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• P••••••• A••• · Directorcontrol
        since 11/2011 · owns less than 5%
      • C•••• T••• M••••• · Directorcontrol
        since 12/2005 · owns less than 5%
      • D•••••• R•••••• M••••• · Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • F••••• D••••• A••• · President & Ceocontrol
        since 07/2013 · owns less than 5%
      • P•••••••• J••••• P••••• · Directorcontrol
        since 04/2012 · owns less than 5%
      • S•••• S••••••• S•••••• · Vice Presidentcontrol
        since 06/2013 · owns less than 5%
      • C•••• A••••••• M••••• · Compliance Officer
        since 07/2013 · owns less than 5%
      • M•••••••• M••••••• G•••• · Compliance Officer
        since 07/2013 · owns less than 5%
      Entity owners
      • C•••••••• A•••••• C••••• U•••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••••• A•••••• C••••• U••••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        Jul 19, 2013 to Oct 30, 2013
      • Discretionary RAUM · $94.6M to $63.2M
        Jul 19, 2013 to Oct 30, 2013
      • Non-discretionary RAUM · $10.1M to $6.7M
        Jul 19, 2013 to Oct 30, 2013
      • RAUM · $105M to $69.8M
        Jul 19, 2013 to Oct 30, 2013
      • BD registered reps · 1 to 0
        Jun 19, 2013 to Jul 19, 2013
      • Discretionary RAUM · $180M to $94.6M
        Nov 5, 2012 to Feb 28, 2013
      • Non-discretionary RAUM · $4.8M to $10.1M
        Nov 5, 2012 to Feb 28, 2013
      • RAUM · $185M to $105M
        Nov 5, 2012 to Feb 28, 2013
      • Advisory employees · unset to 2.0
        Jul 18, 2012 to Nov 5, 2012
      • BD registered reps · 0 to 1
        Jul 18, 2012 to Nov 5, 2012
      • Employees · unset to 3.0
        Jul 18, 2012 to Nov 5, 2012
      • State-registered IARs · 0 to 3
        Jul 18, 2012 to Nov 5, 2012
      • Discretionary RAUM · $183M to $180M
        May 15, 2012 to Jul 18, 2012
      • Non-discretionary RAUM · $42.7M to $4.8M
        May 15, 2012 to Jul 18, 2012
      • RAUM · $225M to $185M
        May 15, 2012 to Jul 18, 2012
      • Accounts · 2 to 3
        Dec 8, 2011 to Mar 30, 2012
      • Discretionary RAUM · $167M to $183M
        Dec 8, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · $0 to $42.7M
        Dec 8, 2011 to Mar 30, 2012
      • RAUM · $167M to $225M
        Dec 8, 2011 to Mar 30, 2012
      • Discretionary RAUM · $120M to $167M
        Nov 7, 2011 to Dec 8, 2011
      • RAUM · $120M to $167M
        Nov 7, 2011 to Dec 8, 2011
      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