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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SEC-registered adviser
F•••••• C•••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 15, 2021 · 6 filings
SEC status approved since Apr 14, 2021
RAUM
$353M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$353M as of Mar 23, 2026
Mar 28, 2022$296M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 28, 20223 then
Employees (5.A)3 as of Mar 23, 2026
Mar 28, 20223 then
Private funds2 as of Mar 23, 2026
Mar 28, 20222 then
RAUM -0.6% over the last fiscal year+4.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $118MderivedRAUM 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
- $176MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- -0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 vehiclesreportedItem 5.G
- Custody
- $353M, 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$353M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $353M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• U•••• K••••• | Mountain Brook, Al | Jan 3, 2012 | 15 y | 0 |
| R••••• S••••• M•••••••• | Mountain Brk, Al | Jan 3, 2012 | 15 y | 0 |
| J•••••••• N• W•••••• | Mountain Brook, Al | Jul 21, 2017 | 11 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
- F•••• A•••••••• C••• to C••• W••••• M••••••••• L••Mar 22, 2022 · Other
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••• F•••• L• | Hedge Fund | $328M | 75 | Mar 15, 2021 |
| F•• H••••••••• L•• | Private Equity Fund | $22.1M | 10 | Mar 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• E•••••• U•••• · Managing Partnercontrolsince 07/2011 · owns less than 5%
- M••••••••• R•••••• S••••• · Managing Partnercontrolsince 07/2011 · owns less than 5%
- W••••••• J••••••••• N• · Partner And Chief Compliance Officercontrolsince 07/2017 · owns less than 5%
- K•••••• E•••••• U•••• · Managing Partnercontrolsince 01/2020 · owns 75% or more of B•• D•• E••••••••• L••
- M••••••••• R•••••• S••••• · Managing Partnercontrolsince 01/2020 · owns 75% or more of M•••••••• L••
- W••••••• J••••••••• N• · Managing Partnercontrolsince 01/2020 · owns 75% or more of B••••••• C••••••• L••
Entity owners
- B•• D•• E••••••••• L•• · Ownerdirect · owns 25% to 50%
- B••••••• C••••••• L•• · Ownerdirect · owns 25% to 50%
- M•••••••• L•• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- F•• H••••••••• M••••••••• C••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mountain Brook, Al | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $355M to $353MMar 27, 2025 to Mar 23, 2026
- Discretionary RAUM · $355M to $353MMar 27, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $355M to $353MMar 27, 2025 to Mar 23, 2026
- RAUM · $355M to $353MMar 27, 2025 to Mar 23, 2026
- Assets in custody · $350M to $355MMar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $350M to $355MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $350M to $355MMar 27, 2024 to Mar 27, 2025
- RAUM · $350M to $355MMar 27, 2024 to Mar 27, 2025
- Accounts · 3 to 2Mar 28, 2023 to Mar 27, 2024
- Advisory activities · 2 to 1Mar 28, 2023 to Mar 27, 2024
- Charity clients · 1.0 to unsetMar 28, 2023 to Mar 27, 2024
- Assets in custody · $312M to $350MMar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $312M to $350MMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $254M to $350MMar 28, 2023 to Mar 27, 2024
- RAUM · $312M to $350MMar 28, 2023 to Mar 27, 2024
- Assets in custody · $296M to $312MMar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $296M to $312MMar 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $211M to $254MMar 28, 2022 to Mar 28, 2023
- RAUM · $296M to $312MMar 28, 2022 to Mar 28, 2023
- Accounts · 2 to 3Mar 15, 2021 to Mar 28, 2022
- Pooled vehicle clients · 1 to 2Mar 15, 2021 to Mar 28, 2022
- Assets in custody · $137M to $296MMar 15, 2021 to Mar 28, 2022
- Private funds · 1 to 2Mar 15, 2021 to Mar 28, 2022
- Discretionary RAUM · $137M to $296MMar 15, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $67.9M to $211MMar 15, 2021 to Mar 28, 2022
- RAUM · $137M to $296MMar 15, 2021 to Mar 28, 2022
Signals
3 dated events
- F•••••• C•••••• M••••••••• L•• reported RAUM $295.6M, up 116% from $137.1M (2021-03-15 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- F•••• A•••••••• C••• left F•••••• C•••••• M••••••••• L•• for C••• W••••• M••••••••• L•• (registered 2022-05-12)Mar 22, 2022 · Advisor changed firm · fact
- F•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F•••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 205-383-4763reportedpublic record, Form ADV, Mar 23, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026