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

B••••••••• W••••• M•••••••••

Former SEC-registered adviserBirmingham, AlabamaCRD 164100SEC 801-76956IAPD
Legal name B••••••••• L••
Latest filing Mar 20, 2024
First filing on the tape Jul 19, 2012 · 52 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$0 as of Mar 20, 2024
Jan 18, 2013$315M then
HNW client RAUM$1.5B as of Mar 30, 2023
Mar 28, 2018$340M then
State-registered IARs (5.B.3)0 as of Mar 20, 2024
Jan 18, 201316 then
Employees (5.A)0 as of Mar 20, 2024
Jan 18, 201340 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 29 to 0
Practice profile
derived from the filing of Mar 20, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
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)
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F••••• J••••• S••••• · Equity Partnercontrol
    since 01/2019 · owns less than 5%
  • G•••••• J••••• B•••• · Equity Partnercontrol
    since 01/2019 · owns 5% to 10%
  • H•••••• D••••• W•••• · Equity Partnercontrol
    since 08/2012 · owns 10% to 25%
  • H•••••• B••••• T••• · Equity Partnercontrol
    since 04/2015 · owns 10% to 25%
  • H•••••• W••••••• O••••• · Equity Partnercontrol
    since 01/2019 · owns less than 5%
  • I•••• C••••••• Z•••••• · Equity Partnercontrol
    since 02/2013 · owns 10% to 25%
  • M••••••••• J••••••• T••• · Equity Partnercontrol
    since 02/2013 · owns less than 5%
  • M•••••••• J•••••••• E••• · Director Of P•••••••control
    since 01/2017 · owns less than 5%
  • S••••• S•••• A••••••• · Chief Financial Officercontrol
    since 11/2017 · owns less than 5%
  • S••••• J•••••••• W••••• · Equity Partnercontrol
    since 05/2016 · owns 5% to 10%
  • S••••••••• T•••••••• M••••••• · Chief Compliance Officercontrol
    since 06/2018 · owns less than 5%
  • Z•••• D•••••• M••••• · Chief Executive Officer/Managing Partnercontrol
    since 08/2012 · owns 10% to 25%
  • D•••••• E•••••• D••••• · Director Of Operations
    since 01/2020 · owns less than 5%
  • J••••••• A••• E•••• · Chief Marketing Officer
    since 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Birmingham, Al · principal000
Huntsville, Al000
Offices
Schedule D 1.F, the 25 largest
  • Huntsville, AL12 employees
What changed
consecutive filings, newest first
  • Accounts · 5,489 to 0
    May 8, 2023 to Mar 20, 2024
  • Advisory employees · 60 to 0
    May 8, 2023 to Mar 20, 2024
  • BD registered reps · 4 to 0
    May 8, 2023 to Mar 20, 2024
  • Charity clients · 17.0 to unset
    May 8, 2023 to Mar 20, 2024
  • Corporate clients · 15.0 to unset
    May 8, 2023 to Mar 20, 2024
  • HNW clients · 1099.0 to unset
    May 8, 2023 to Mar 20, 2024
  • Individual clients · 1951.0 to unset
    May 8, 2023 to Mar 20, 2024
  • Pension plan clients · 10.0 to unset
    May 8, 2023 to Mar 20, 2024
  • Assets in custody · 99238980.0 to unset
    May 8, 2023 to Mar 20, 2024
  • Custody of client assets · true to false
    May 8, 2023 to Mar 20, 2024
  • Employees · 60 to 0
    May 8, 2023 to Mar 20, 2024
  • Financial planning clients · 51-100 to 0
    May 8, 2023 to Mar 20, 2024
  • State-registered IARs · 29 to 0
    May 8, 2023 to Mar 20, 2024
  • Discretionary RAUM · $2.0B to $0
    May 8, 2023 to Mar 20, 2024
  • HNW RAUM · 1498949215.0 to unset
    May 8, 2023 to Mar 20, 2024
  • Individual RAUM · 477816225.0 to unset
    May 8, 2023 to Mar 20, 2024
  • Non-discretionary RAUM · $6.9M to $0
    May 8, 2023 to Mar 20, 2024
  • Pension RAUM · 8958554.0 to unset
    May 8, 2023 to Mar 20, 2024
  • RAUM · $2.0B to $0
    May 8, 2023 to Mar 20, 2024
  • Accounts · 5,358 to 5,489
    Jan 16, 2023 to Mar 30, 2023
  • Advisory employees · 61 to 60
    Jan 16, 2023 to Mar 30, 2023
  • Advisory activities · 7 to 5
    Jan 16, 2023 to Mar 30, 2023
  • Charity clients · 29 to 17
    Jan 16, 2023 to Mar 30, 2023
  • Corporate clients · 11 to 15
    Jan 16, 2023 to Mar 30, 2023
  • HNW clients · 1,154 to 1,099
    Jan 16, 2023 to Mar 30, 2023
  • Individual clients · 1,792 to 1,951
    Jan 16, 2023 to Mar 30, 2023
  • Pension plan clients · 23 to 10
    Jan 16, 2023 to Mar 30, 2023
  • Assets in custody · $141M to $99.2M
    Jan 16, 2023 to Mar 30, 2023
  • Employees · 61 to 60
    Jan 16, 2023 to Mar 30, 2023
  • Discretionary RAUM · $2.2B to $2.0B
    Jan 16, 2023 to Mar 30, 2023
  • HNW RAUM · $1.6B to $1.5B
    Jan 16, 2023 to Mar 30, 2023
  • Individual RAUM · $570M to $478M
    Jan 16, 2023 to Mar 30, 2023
  • Non-discretionary RAUM · $7.3M to $6.9M
    Jan 16, 2023 to Mar 30, 2023
  • Pension RAUM · $11.5M to $9.0M
    Jan 16, 2023 to Mar 30, 2023
  • RAUM · $2.2B to $2.0B
    Jan 16, 2023 to Mar 30, 2023
  • Accounts · 5,017 to 5,358
    Jul 27, 2021 to Mar 30, 2022
  • Advisory employees · 54 to 61
    Jul 27, 2021 to Mar 30, 2022
  • Charity clients · 19 to 29
    Jul 27, 2021 to Mar 30, 2022
  • Corporate clients · 7 to 11
    Jul 27, 2021 to Mar 30, 2022
  • HNW clients · 396 to 1,154
    Jul 27, 2021 to Mar 30, 2022
Signals
50 dated events
  • B•••• T••• H••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 20, 2024 · Advisor changed firm · fact
  • B••••••••• W••••• M••••••••• reported RAUM $0, down 100% from $2.0B (2023-05-08 to 2024-03-20)
    Mar 20, 2024 · RAUM change · derived
  • B••••••••• W••••• M••••••••• reported 0 state-registered advisory representatives, down from 29 (2023-05-08 to 2024-03-20)
    Mar 20, 2024 · Advisor headcount change · derived
  • E••••• F••••••• T••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • J•••• S•••••• G••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • J•••• S••••• F•••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • T••••• H•••• B•••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • J••• L••••••• K••••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • J••••••• W••••• S•••• left B••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2013-09-26)
    Mar 19, 2024 · Advisor changed firm · fact
  • D•••• S•••••• L••••••• left B••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2012-09-11)
    Mar 19, 2024 · Advisor changed firm · fact
  • S•••••• D••••• W•••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • J•••• B•••• G••••• left B••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2012-09-11)
    Mar 19, 2024 · Advisor changed firm · fact
  • 5 advisors left B••••••••• W••••• M••••••••• (Birmingham, AL) for L•• F•••••••• L•• on the same day
    Mar 19, 2024 · Team lift-out · derived
  • P•••• B••••••••• B•••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • J•••••• T••• M•••••••• left B••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2012-09-27)
    Mar 19, 2024 · Advisor changed firm · fact
  • W••• A••• W••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • W•••••• O••••• H••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • B••••••••• W••••• M•••••••••'s advisors moved to S••••• W••••• M••••••••• (Birmingham, AL): 20 of 25 registered, a day apart
    Mar 19, 2024 · Firm absorbed (people side) · derived
  • D•••• K••• W••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • T••• H•••••••• I••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-13)
    Mar 19, 2024 · Advisor changed firm · fact
  • A••••• D•••• D•••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-13)
    Mar 19, 2024 · Advisor changed firm · fact
  • M•••• K••• G•••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2024-01-10)
    Mar 19, 2024 · Advisor changed firm · fact
  • C•••••• Z•••••• I••• left B••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2017-10-12)
    Mar 19, 2024 · Advisor changed firm · fact
  • D•••• M••••• C••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • A••• M••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • L•••• K••••••• R•••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-13)
    Mar 19, 2024 · Advisor changed firm · fact
  • J••••••• E••• M••••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • D••••• M••••• Z••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-13)
    Mar 19, 2024 · Advisor changed firm · fact
  • D•••• W•••• H••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)
    Mar 19, 2024 · Advisor changed firm · fact
  • W•••••• J•• W•••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2024-01-08)
    Jan 8, 2024 · Advisor changed firm · fact
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