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

S••••••• W••••• M••••••••• I•••

Former SEC-registered adviserMobile, AlabamaCRD 166948SEC 801-79414IAPD
Latest filing Mar 6, 2023
First filing on the tape Mar 17, 2014 · 29 filings
RAUM
n/a
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
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$221M as of Feb 21, 2022
Mar 12, 2015$112M then
HNW client RAUM$163M as of Feb 21, 2022
Feb 15, 2018$91.8M then
State-registered IARs (5.B.3)2 as of Mar 6, 2023
Mar 12, 20152 then
Employees (5.A)2 as of Mar 6, 2023
Mar 12, 20155 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2023; 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
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • S••••••• M•••• D•••••• · Portfolio Managercontrol
      since 03/2020 · owns 25% to 50%
    • S•••••••• J••••• E••••• · President And Chief Compliance Officercontrol
      since 09/1997 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 566.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • Advisory employees · 2 to 0
      Dec 20, 2022 to Mar 6, 2023
    • HNW clients · 54.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • Individual clients · 162.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • Employees · 5 to 2
      Dec 20, 2022 to Mar 6, 2023
    • Discretionary RAUM · 214420542.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • HNW RAUM · 163295354.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • Individual RAUM · 55712302.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • Non-discretionary RAUM · 6874591.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • Pension RAUM · 2287477.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • RAUM · 221295133.0 to unset
      Dec 20, 2022 to Mar 6, 2023
    • Accounts · 538 to 566
      May 4, 2021 to Feb 21, 2022
    • HNW clients · 49 to 54
      May 4, 2021 to Feb 21, 2022
    • Individual clients · 166 to 162
      May 4, 2021 to Feb 21, 2022
    • Financial planning clients · 1-10 to 0
      May 4, 2021 to Feb 21, 2022
    • Discretionary RAUM · $177M to $214M
      May 4, 2021 to Feb 21, 2022
    • HNW RAUM · $132M to $163M
      May 4, 2021 to Feb 21, 2022
    • Individual RAUM · $48.3M to $55.7M
      May 4, 2021 to Feb 21, 2022
    • Non-discretionary RAUM · $5.7M to $6.9M
      May 4, 2021 to Feb 21, 2022
    • Pension RAUM · $2.0M to $2.3M
      May 4, 2021 to Feb 21, 2022
    • RAUM · $182M to $221M
      May 4, 2021 to Feb 21, 2022
    • Accounts · 517 to 538
      Sep 9, 2020 to Feb 11, 2021
    • HNW clients · 38 to 49
      Sep 9, 2020 to Feb 11, 2021
    • Employees · 4 to 5
      Sep 9, 2020 to Feb 11, 2021
    • Discretionary RAUM · $158M to $177M
      Sep 9, 2020 to Feb 11, 2021
    • HNW RAUM · $106M to $132M
      Sep 9, 2020 to Feb 11, 2021
    • Individual RAUM · $56.4M to $48.3M
      Sep 9, 2020 to Feb 11, 2021
    • Non-discretionary RAUM · $5.6M to $5.7M
      Sep 9, 2020 to Feb 11, 2021
    • Pension RAUM · $1.3M to $2.0M
      Sep 9, 2020 to Feb 11, 2021
    • RAUM · $164M to $182M
      Sep 9, 2020 to Feb 11, 2021
    • Business name · S••••••• • A••••••••• to S••••••• W••••• M••••••••• I•••
      Sep 2, 2020 to Sep 8, 2020
    • Legal name · J. E. S••••••• FINANCIAL CONSULTANTS, INC. to S••••••• W••••• M••••••••• I•••
      Sep 2, 2020 to Sep 8, 2020
    • Accounts · 503 to 517
      Nov 8, 2019 to Mar 10, 2020
    • HNW clients · 34 to 38
      Nov 8, 2019 to Mar 10, 2020
    • Individual clients · 161 to 166
      Nov 8, 2019 to Mar 10, 2020
    • Pension plan clients · 5.0 to unset
      Nov 8, 2019 to Mar 10, 2020
    • Employees · 5 to 4
      Nov 8, 2019 to Mar 10, 2020
    • State-registered IARs · 3 to 2
      Nov 8, 2019 to Mar 10, 2020
    • Discretionary RAUM · $128M to $158M
      Nov 8, 2019 to Mar 10, 2020
    • HNW RAUM · $88.0M to $106M
      Nov 8, 2019 to Mar 10, 2020
    Signals
    4 dated events
    • M••• D•••••• S•••••• left S••••••• W••••• M••••••••• I••• for W•••••• A•••••••• L•• (registered 2023-01-03)
      Mar 9, 2023 · Advisor changed firm · fact
    • J•••• E••••• S••••••• left S••••••• W••••• M••••••••• I••• for W•••••• A•••••••• L•• (registered 2023-01-03)
      Mar 9, 2023 · Advisor changed firm · fact
    • 2 advisors left S••••••• W••••• M••••••••• I••• (Mobile, AL) for W•••••• A•••••••• L•• on the same day
      Mar 9, 2023 · Team lift-out · derived
    • S••••••• • A••••••••• filed its initial SEC registration (Form ADV)
      Mar 17, 2014 · 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.
    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