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
P•• A•••••••
Wealth manager with institutional or fund businessHoover, AlabamaCRD 159443SEC 801-127839websiteIAPD
Legal name P••••• M••• T•• D••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2023 · 7 filings
SEC status approved since May 1, 2023
RAUM
$112M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
50%
$55.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.8M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$112M as of Mar 31, 2026
Mar 30, 2023$118M then
HNW client RAUM$40.8M as of Mar 31, 2026
Mar 30, 2023$16.6M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20232 then
Employees (5.A)7 as of Mar 31, 2026
Mar 30, 20234 then
Private funds: no history
RAUM +6.9% over the last fiscal year-1.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $55.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $439,533derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $55.0M, 138 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$55.9M50%
- High-net-worth individuals$40.8M37%
- Individuals$14.9M13%
- Individual clients
- 93reported
- HNW clients
- 37reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 254reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.0M for 138 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.5 fund_share=0.0 institutional_share=0.5 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• I•• M•••••••• | Hoover, Al | Dec 15, 2011 | 23 y | 2 |
| M•••••• S•••••• D•••••••• | Hoover, Al | Dec 15, 2011 | 18 y | 1 |
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
- S••••• R•••••• K••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 24, 2017 · Other
- S•••• R• C••••••• to C••••• W••••• M••••••••• I•••Jan 28, 2016 · Other
- J••••• A••• S•••• to S••••• A••• A•••• M••••••••• I•••Aug 15, 2014 · Other
Joined, latest
- S••••• R•••••• K••• from S••••• A••• A•••• M••••••••• I•••Jun 6, 2013 · Other
- J••••• A••• S•••• from S••••• A••• A•••• M••••••••• I•••Jun 6, 2013 · Other
- J•••• I•• M•••••••• from N••• F•••••••• G••••• I•••Dec 15, 2011 · Other
- M•••••• S•••••• D•••••••• from N••• F•••••••• G••••• I•••Dec 15, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• M••••••• S•••••• · Chief Compliance Officer, Presidentcontrolsince 04/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Hoover, Al · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 50% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 16.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 146 to 254Apr 17, 2025 to Mar 31, 2026
- HNW clients · 22 to 37Apr 17, 2025 to Mar 31, 2026
- Individual clients · 117 to 93Apr 17, 2025 to Mar 31, 2026
- Assets in custody · $47.8M to $55.0MApr 17, 2025 to Mar 31, 2026
- Employees · 6 to 7Apr 17, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Apr 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $88.7M to $90.7MApr 17, 2025 to Mar 31, 2026
- HNW RAUM · $32.8M to $40.8MApr 17, 2025 to Mar 31, 2026
- Individual RAUM · $15.0M to $14.9MApr 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $15.7M to $20.9MApr 17, 2025 to Mar 31, 2026
- Pension RAUM · $56.6M to $55.9MApr 17, 2025 to Mar 31, 2026
- RAUM · $104M to $112MApr 17, 2025 to Mar 31, 2026
- Accounts · 213 to 146Mar 29, 2024 to Apr 17, 2025
- HNW clients · 14 to 22Mar 29, 2024 to Apr 17, 2025
- Individual clients · 60 to 117Mar 29, 2024 to Apr 17, 2025
- Pension plan clients · 16,591 to 17Mar 29, 2024 to Apr 17, 2025
- Assets in custody · $44.7M to $47.8MMar 29, 2024 to Apr 17, 2025
- Employees · 4 to 6Mar 29, 2024 to Apr 17, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Apr 17, 2025
- HQ city · VESTAVIA HILLS to HOOVERMar 29, 2024 to Apr 17, 2025
- Discretionary RAUM · $126M to $88.7MMar 29, 2024 to Apr 17, 2025
- HNW RAUM · $27.2M to $32.8MMar 29, 2024 to Apr 17, 2025
- Individual RAUM · $17.4M to $15.0MMar 29, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $13.0M to $15.7MMar 29, 2024 to Apr 17, 2025
- Pension RAUM · $94.7M to $56.6MMar 29, 2024 to Apr 17, 2025
- RAUM · $139M to $104MMar 29, 2024 to Apr 17, 2025
- Accounts · 154 to 213Mar 30, 2023 to Mar 26, 2024
- HNW clients · 8 to 14Mar 30, 2023 to Mar 26, 2024
- Individual clients · 128 to 60Mar 30, 2023 to Mar 26, 2024
- Pension plan clients · 18 to 16,591Mar 30, 2023 to Mar 26, 2024
- Assets in custody · $39.5M to $44.7MMar 30, 2023 to Mar 26, 2024
- Financial planning clients · 11-25 to 1-10Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $111M to $126MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $16.6M to $27.2MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $22.3M to $17.4MMar 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $7.2M to $13.0MMar 30, 2023 to Mar 26, 2024
- Pension RAUM · $79.2M to $94.7MMar 30, 2023 to Mar 26, 2024
- RAUM · $118M to $139MMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $111M to $111MMar 30, 2023 to Mar 30, 2023
- HNW RAUM · $16.6M to $16.6MMar 30, 2023 to Mar 30, 2023
Signals
1 dated events
- P•• A••••••• filed its initial SEC registration (Form ADV)Mar 30, 2023 · First SEC registration · fact
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 205-986-0060reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $55.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026