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
A••••••• R••••••••• A•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jun 8, 2021 · 9 filings
SEC status approved since Jul 7, 2021
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$224M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$227M as of Mar 16, 2026
Mar 16, 2022$165M then
HNW client RAUM$188M as of Mar 16, 2026
Mar 16, 2022$130M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 16, 20222 then
Employees (5.A)2 as of Mar 16, 2026
Mar 16, 20222 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $415,847derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $117M, 93 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$188M83%
- Individuals$36.2M16%
- Charitable organizations$1.7M0.8%
- Pension and profit-sharing plans$1.7M0.7%
- Individual clients
- 81reported
- HNW clients
- 59reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 547reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $117M for 93 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• J•••• M••••••Certified Financial Planner | Birmingham, Al | Jan 28, 2013 | 16 y | 1 |
| P•••••• B••••••• W•••••Certified Financial Planner | Birmingham, Al | Aug 2, 2021 | 15 y | 2 |
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
none on the tape
Joined, latest
- P•••••• B••••••• W••••• from W••••• W••••• A•••••••• L••Aug 2, 2021 · Other
- E••• J•••• M•••••• from W••••• F•••••••• C••••••••• P•••Jan 28, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• E•••• J•••• · Membercontrolsince 11/2012 · owns 50% to 75%
- W•••••• P••••••• B••••••• · Member / Chief Compliance Officercontrolsince 08/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Navarre, FL1 employees
- Pensacola, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 16, 2026financial planning (Item 5.G.1): yes on the filing of 2025-09-18, no on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 546 to 547Sep 18, 2025 to Mar 16, 2026
- Advisory activities · 3 to 2Sep 18, 2025 to Mar 16, 2026
- Corporate clients · 1 to 0Sep 18, 2025 to Mar 16, 2026
- HNW clients · 57 to 59Sep 18, 2025 to Mar 16, 2026
- Individual clients · 91 to 81Sep 18, 2025 to Mar 16, 2026
- Assets in custody · $98.9M to $117MSep 18, 2025 to Mar 16, 2026
- Financial planning clients · 0 to Sep 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $199M to $227MSep 18, 2025 to Mar 16, 2026
- HNW RAUM · $163M to $188MSep 18, 2025 to Mar 16, 2026
- Individual RAUM · $33.2M to $36.2MSep 18, 2025 to Mar 16, 2026
- Pension RAUM · $1.1M to $1.7MSep 18, 2025 to Mar 16, 2026
- RAUM · $199M to $227MSep 18, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 18, 2025
- Accounts · 479 to 546Mar 20, 2024 to Mar 27, 2025
- Charity clients · 2 to 1Mar 20, 2024 to Mar 27, 2025
- HNW clients · 53 to 57Mar 20, 2024 to Mar 27, 2025
- Individual clients · 97 to 91Mar 20, 2024 to Mar 27, 2025
- Pension plan clients · 1 to 3Mar 20, 2024 to Mar 27, 2025
- Pooled vehicle clients · unset to 0.0Mar 20, 2024 to Mar 27, 2025
- Assets in custody · unset to 98898823.0Mar 20, 2024 to Mar 27, 2025
- Custody of client assets · false to trueMar 20, 2024 to Mar 27, 2025
- HQ city · VESTAVIA to BIRMINGHAMMar 20, 2024 to Mar 27, 2025
- Other offices · 2 to 1Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $174M to $199MMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $136M to $163MMar 20, 2024 to Mar 27, 2025
- Individual RAUM · $35.4M to $33.2MMar 20, 2024 to Mar 27, 2025
- Pension RAUM · $986,828 to $1.1MMar 20, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 20, 2024 to Mar 27, 2025
- RAUM · $174M to $199MMar 20, 2024 to Mar 27, 2025
- Accounts · 507 to 479Mar 29, 2023 to Mar 20, 2024
- Corporate clients · unset to 1.0Mar 29, 2023 to Mar 20, 2024
- HNW clients · 47 to 53Mar 29, 2023 to Mar 20, 2024
- Individual clients · 105 to 97Mar 29, 2023 to Mar 20, 2024
- Discretionary RAUM · $151M to $174MMar 29, 2023 to Mar 20, 2024
- HNW RAUM · $114M to $136MMar 29, 2023 to Mar 20, 2024
- Individual RAUM · $36.8M to $35.4MMar 29, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $2.8M to $0Mar 29, 2023 to Mar 20, 2024
- Pension RAUM · $826,299 to $986,828Mar 29, 2023 to Mar 20, 2024
- RAUM · $153M to $174MMar 29, 2023 to Mar 20, 2024
- Accounts · 496 to 507Mar 31, 2022 to Mar 29, 2023
Signals
2 dated events
- Brittain Phillip Walker (Member / Chief Compliance Officer) appeared on Schedule A of A••••••• R••••••••• A•••••••• L••Aug 12, 2021 · Control person joined · fact
- M•••••• L•••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2021 · 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
- Business email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 205-588-8637reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 850-316-8871reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/approach-retirement-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (205) 588-8637reportedpublic record, Form ADV, Mar 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026