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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••• A••••••• I•••
Latest filing Jun 17, 2026
First filing on the tape Dec 11, 2014 · 64 filings
SEC status approved since Dec 17, 2014
RAUM
$5.1B
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
96%
$4.9B individuals and HNW
Advisors
233
registered through the firm on IAPD
RAUM per advisor
$21.9M
derived; firm RAUM over IAPD count
Employees
220
220 advisory (5.B.1)
Offices
155
beyond the principal office
Private funds
0
reported on Schedule D
History
64 filings and snapshots on the tape
RAUM$5.1B as of Jun 17, 2026
Dec 28, 2015$845M then
HNW client RAUM$2.6B as of Jun 17, 2026
Dec 22, 2017$246M then
State-registered IARs (5.B.3)215 as of Jun 17, 2026
Dec 28, 2015210 then
Employees (5.A)220 as of Jun 17, 2026
Dec 28, 2015335 then
Private funds: no history
RAUM +13% over the last fiscal year+26% a year over threeIARs 228 to 215offices 147 to 155
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $21.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $328,849derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 1.5derived156 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.6B51%
- Individuals$2.3B45%
- Corporations and businesses$122M2.4%
- State and municipal entities$85.8M1.7%
- Charitable organizations$3.7M0.1%
- Individual clients
- 8,721reported
- HNW clients
- 1,020reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 15,487reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=220.0derived
Advisors registered through the firm
230 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• S•••• H•••••••Chartered Financial Consultant | Lynchburg, Va | Jan 30, 2015 | 37 y | 3 |
| M•••••• J• D•••••Certified Financial Planner | Poland, Oh | Jan 30, 2015 | 26 y | 2 |
| R••••• J•••• T•••Chartered Financial Consultant | Birmingham, Al | Jan 30, 2015 | 34 y | 2 |
| C•••• M•••••• G••••••• | Birmingham, Al | Jan 30, 2015 | 34 y | 1 |
| A•• M•••• I••••Certified Financial Planner | Birmingham, Al | Jan 30, 2015 | 25 y | 3 |
| R•••••• D••••• M••••• | Garfield Heights, Oh | Jan 30, 2015 | 25 y | 1 |
| D••••• E• J••••• | Danvers, Ma | Jan 30, 2015 | 17 y | 1 |
| G•••• N••• D••••• | Beachwood, Oh | Jan 30, 2015 | 20 y | 1 |
| D•••• W••••••• H••••••• | Oak P•••, Il | Jan 30, 2015 | 34 y | 3 |
| V•••••• G••••• M•••••• | Stratford, Ct | Jan 30, 2015 | 28 y | 1 |
| D••••• D•• M•••••••• | Birmingham, Al | Jan 30, 2015 | 32 y | 3 |
| G•••••• J•••• P•••• | Birmingham, Al | Jan 30, 2015 | 32 y | 1 |
| R••••• S•••• B••••••• | West Suffield, Ct | Jan 30, 2015 | 42 y | 1 |
| R•••••• J•••••• Q•••• | Birmingham, Al | Jan 30, 2015 | 47 y | 2 |
| B••• M•••••• T•••• | Birmingham, Al | Jan 30, 2015 | 28 y | 2 |
| R••••• M•••••• W••••• | Glen Burnie, Md | Jan 30, 2015 | 22 y | 2 |
| P•••• A••••• T•••• | Youngstown, Oh | Jan 30, 2015 | 26 y | 1 |
| D•••• O•••• K••••• | Birmingham, Al | Jan 30, 2015 | 38 y | 2 |
| M••• H••• | Windsor Locks, Ct | Jan 30, 2015 | 26 y | 2 |
| G•••••• D•• H•••••• | Birmingham, Al | Jan 30, 2015 | 37 y | 1 |
| R•••••• K•••• B•••• | Birmingham, Al | Jan 30, 2015 | 31 y | 1 |
| P•••••• E••••• R•••••••••Certified Financial Planner | Birmingham, Al | Jan 30, 2015 | 35 y | 2 |
| S•••••• A•••••• B••• | Woburn, Ma | Jan 30, 2015 | 34 y | 6 |
| R•••••• J••• G•••••Chartered Financial Consultant | New Orleans, La | Jan 30, 2015 | 30 y | 2 |
| R••••• C•••••• J•••••• | Birmingham, Al | Jan 30, 2015 | 25 y | 1 |
| K•••• S•••• D••• | Tiffin, Oh | Jan 30, 2015 | 25 y | 2 |
| M••••• L•••••• H••••• | Birmingham, Al | Jan 30, 2015 | 37 y | 1 |
| B•••• A••• N••••• | Youngstown, Oh | Jan 30, 2015 | 28 y | 1 |
| S•••••• T••••• L•••••••Certified Financial Planner | Ocala, Fl | Jan 30, 2015 | 30 y | 4 |
| V•••••• A•••••• P•••••• | Birmingham, Al | Jan 30, 2015 | 28 y | 1 |
| A••••••• M•••• K••••Certified Financial Planner | Birmingham, Al | Jan 30, 2015 | 38 y | 1 |
| C••• J•••• K•••Certified Financial Planner | Janesville, Wi | Jan 30, 2015 | 30 y | 1 |
| C••••••••• J••• M•••••• | Brick, Nj | Jan 30, 2015 | 22 y | 1 |
| J••••• M•••••• C•••• | Birmingham, Al | Jan 30, 2015 | 23 y | 3 |
| K•••••• J•••• P••••••Certified Financial Planner | Canfield, Oh | Jan 30, 2015 | 38 y | 1 |
| D••••• J••••• M••••••••• | Birmingham, Al | Jan 30, 2015 | 25 y | 1 |
| L•••••• L•••• G••••• | Birmingham, Al | Jan 30, 2015 | 13 y | 1 |
| S•••• C••••• B•••••Certified Financial Planner | Birmingham, Al | Jan 30, 2015 | 41 y | 2 |
| R••••• B•••••• J•••••• | Columbus, Oh | Jan 30, 2015 | 16 y | 1 |
| W•••••• A••••• M•••••Chartered Financial Consultant | Laconia, Nh | Jan 30, 2015 | 32 y | 3 |
Advisor movement
22 left, 9 joined in 12 months
net -13 in 12 months2 left in 90 days2 joined in 90 daysdeparture rate 9.4% of current headcount49 left over 36 months
Left, latest
- C••••••••• R••••• G••••••••• to P••• L••• F•••••••• G•••• L••Sep 10, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- G••••• L•• C••••••• to R•••••• J•••• • A••••••••• I•••Jun 29, 2026 · Affiliated broker-dealer or bank to another
- S••••• S•••••••• D•••••• to L•• F•••••••• L••Jun 2, 2026 · Affiliated broker-dealer or bank to another
- J••••• M• H••••••• to L•• F•••••••• L••Jun 2, 2026 · Affiliated broker-dealer or bank to another
- J••••• T•••• B•••• to L•• F•••••••• L••Jun 2, 2026 · Affiliated broker-dealer or bank to another
- J••• F•••••• C•••••• to T•••• A••••••• G•••• L••Apr 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- S••••• H•••••• R••••••• to J••• M••••• S••••••••• L••Mar 20, 2026 · Affiliated broker-dealer or bank to wirehouse
- J••••• A• G•••••••• to A••••• I••••••••• A••••••• L••Feb 13, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• G••••• M•••••• to A••••• I••••••••• A••••••• L••Feb 13, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• R•••• C••••••••• to A••••• I••••••••• A••••••• L••Feb 13, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• E••• S••••••• to A••••• I••••••••• A••••••• L••Feb 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••• M•••••• J•••• to A••••• I••••••••• A••••••• L••Feb 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• W• P••••• to A••••• I••••••••• A••••••• L••Feb 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••• G• W••• to A••••• I••••••••• A••••••• L••Feb 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• D•••• M•••••• to A••••• I••••••••• A••••••• L••Feb 11, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Joined, latest
- A•••• L••• R••• M••••••• from C•••••••• G••••• M•••••• I•••Aug 19, 2026 · Other
- M••••• C•••••••• C•••••• from U•• F•••••••• S••••••• I•••Aug 4, 2026 · Wirehouse to affiliated broker-dealer or bank
- C••••• J••• B••• from A••••• A•• P••••••• S•••••••May 27, 2026 · Affiliated broker-dealer or bank to another
- F••••••• C••••••••• from B••••• G••••• A•••• M•••••••••Apr 27, 2026 · Affiliated broker-dealer or bank to another
- C••••• E••••• M••••••• from E••••• J••••Feb 13, 2026 · Affiliated broker-dealer or bank to another
- D••••• M••••• N•••• from B•• P•••••• A•••• M••••••••• U• • L••Jan 22, 2026 · Other
- S••••• P••• C••• from Q•••••• C•••••• C•••••••••Jan 17, 2026 · Other
- S•••••• V• M•••••• from B••••• G••••• A•••• M•••••••••Nov 17, 2025 · RIA to affiliated broker-dealer or bank
- G•••••• E•••••• A•••••• from B••••• G••••• A•••• M•••••••••Nov 13, 2025 · RIA to affiliated broker-dealer or bank
- T•••••• B•••• W•••• from C•••••••• F•••••••• G•••• A•••••••Sep 10, 2025 · Affiliated broker-dealer or bank to another
- J••• F••••• from L•• E••••••••• L••Jul 30, 2025 · Affiliated broker-dealer or bank to another
- E••• P••••• from C•••••••• F•••••••• G•••• A•••••••Jun 16, 2025 · Affiliated broker-dealer or bank to another
- V•••••• S• C••••• from M••••• S••••••Apr 9, 2025 · Wirehouse to affiliated broker-dealer or bank
- M•••••• M••••• from L•• E••••••••• L••Mar 31, 2025 · Other
- O•••• D•••• R•••••• from B•• S••••••••• I•••Sep 25, 2024 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for L•• F•••••••• L••Jun 2, 2026 · Birmingham, Al
- 10 left for A••••• I••••••••• A••••••• L••Feb 10, 2026 · Birmingham, Al
- 3 left for L•• F•••••••• L••Jun 24, 2025 · Covington, Ky
- 3 left for O•••••••• F•••••••• S••••••• L••Jun 9, 2025 · Orefield, Pa
- 2 left for S••••• • R••••• F•••••••• S•••••••• I•••Mar 26, 2025 · Birmingham, Al
- 2 left for L•• F•••••••• L••Jun 26, 2023 · Birmingham, Al
- 2 left for S••••••••• A•••••• A•••••••• I•••Jul 22, 2020 · Birmingham, Al
- 3 left for S••••••••• A•••••• A•••••••• I•••Dec 24, 2019 · Birmingham, Al
- 2 joined from B••••• G••••• A•••• M•••••••••Dec 22, 2025 · M••••, Fl
- 2 joined from C•••••••• F•••••••• G•••• A•••••••Feb 21, 2025 · Birmingham, Al
- 2 joined from M•• I•••••••• S•••••••• L••Oct 3, 2019 · F•••••••, Tn
- 2 joined from A••••••••• F•••••••• S•••••••• L••Sep 24, 2019 · Birmingham, Al
- 2 joined from L•• F•••••••• L••Sep 21, 2018 · Montgomery, Al
- 2 joined from R•••••• J•••• • A••••••••• I•••Aug 8, 2018 · Gadsden, Al
- 6 joined from S••••• A••• A•••• M••••••••• I•••Jul 5, 2016 · Birmingham, Al · Firm absorbed
- 4 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 6, 2015 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••• F•••••• · Chief Compliance Officercontrolsince 02/2017 · owns less than 5%
- C•••••• J••• W••••• · Chief Executive Officercontrolsince 12/2015 · owns less than 5%
- C••••••••• A•••••• R• · G•••Ral Counselcontrolsince 12/2014 · owns less than 5%
- D••••••• S•••••• A••••• · Directorcontrolsince 05/2024 · owns less than 5%
- D••••••• W••••••• J••• · Directorcontrolsince 08/2016 · owns less than 5%
- L•••• C••••••• M••••• · Directorcontrolsince 08/2016 · owns less than 5%
- M•••••• M•••• L• · Directorcontrolsince 06/2021 · owns less than 5%
- M•••••••• J••••• B••••••• · Directorcontrolsince 07/2025 · owns less than 5%
- O•••••••• S•••• M•••••• · Directorcontrolsince 08/2016 · owns less than 5%
- P•••••• B••••• L••• · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
- P•••••• J•••••• J••• · Chief Financial Officercontrolsince 09/2021 · owns less than 5%
- R••••••••• M•••••• B••••• · Chief Operations Officer / Chief Executive Officercontrolsince 09/2014 · owns less than 5%
- S••••• P•••••• A••••• · Directorcontrolsince 01/2025 · owns less than 5%
Entity owners
- S••••• G•••• I••• · 100% Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- S••••• F•••••••• I•••broker-dealercustodiann
- S••••• S••••••••• I•••broker-dealerreal estaten
- T•••• A••••••• G•••• L••investment adviseryRAUM $314M
Advisers that list S••••• A••••••• I••• as a related person
- 130888 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 229 | 17 | 10 | 1 | |
| M••••, Fl | 9 | 5 | 1 | ||
| Blue Bell, Pa | 9 | 0 | 0 | ||
| F•••••••, Tn | 6 | 1 | 1 | ||
| Garfield Heights, Oh | 5 | 0 | 0 | ||
| Richmond, Va | 5 | 0 | 0 | ||
| Medina, Oh | 4 | 1 | 0 | ||
| L••••Ville, Ky | 4 | 0 | 0 | ||
| Montgomery, Al | 4 | 1 | 0 | ||
| Youngstown, Oh | 3 | 0 | 0 | ||
| Austintown, Oh | 3 | 1 | 0 | ||
| Poland, Oh | 3 | 0 | 0 | ||
| Baton Rouge, La | 3 | 0 | 0 | ||
| Madison, Ms | 3 | 0 | 0 | ||
| Nazareth, Pa | 3 | 0 | 0 | ||
| B••••Wood, Tn | 3 | 0 | 0 | ||
| Worthington, Oh | 2 | 0 | 0 | ||
| Beachwood, Oh | 2 | 0 | 0 | ||
| Brookville, In | 2 | 0 | 0 | ||
| Canfield, Oh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Blue Bell, PA6 employees
- Birmingham, AL6 employees
- Richmond, VA5 employees
- M••••, FL5 employees
- Baton Rouge, LA4 employees
- Lousiville, KY4 employees
- Garfield Heights, OH4 employees
- Covington, KY4 employees
- F•••••••, TN3 employees
- Florence, AL3 employees
- Worthington, OH3 employees
- Huntsville, AL3 employees
- Ridgeland, MS3 employees
- Youngstown, OH3 employees
- B••••Wood, TN3 employees
- Cornelius, NC2 employees
- Kulpmont, PA2 employees
- Chattanooga, TN2 employees
- Fairhope, AL2 employees
- Montgomery, AL2 employees
- Poland, OH2 employees
- Ormond Beach, FL2 employees
- Orefield, PA2 employees
- , 2 employees
- Brookville, IN2 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 17, 2026P•••••• B••••• L••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-07-02 and 2026-06-17peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 17, 2026S••••• P•••••• A••••• (DIRECTOR) appeared on Schedule A between the filings of 2024-07-02 and 2026-06-17peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 17, 2026M•••••••• J••••• B••••••• (DIRECTOR) appeared on Schedule A between the filings of 2024-07-02 and 2026-06-17peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 17, 2026C••••••• J•••• F•••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-07-02 and 2026-06-17peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 17, 2026C•••••• J••• W••••• (CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2024-07-02 and 2026-06-17peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing Jun 17, 2026O•••••••• S•••• M•••••• (DIRECTOR) left Schedule A between the filings of 2024-07-02 and 2026-06-17peers: affiliated wealth managers, $5B to $20B (53)
What changed
consecutive filings, newest first
- Accounts · 14,988 to 15,487Aug 7, 2025 to Dec 22, 2025
- Advisory employees · 233 to 220Aug 7, 2025 to Dec 22, 2025
- BD registered reps · 232 to 220Aug 7, 2025 to Dec 22, 2025
- Corporate clients · 97 to 96Aug 7, 2025 to Dec 22, 2025
- HNW clients · 836 to 1,020Aug 7, 2025 to Dec 22, 2025
- Individual clients · 8,958 to 8,721Aug 7, 2025 to Dec 22, 2025
- Employees · 233 to 220Aug 7, 2025 to Dec 22, 2025
- Insurance-licensed employees · 0 to 1Aug 7, 2025 to Dec 22, 2025
- State-registered IARs · 228 to 215Aug 7, 2025 to Dec 22, 2025
- Other offices · 147 to 155Aug 7, 2025 to Dec 22, 2025
- Discretionary RAUM · $3.1B to $3.8BAug 7, 2025 to Dec 22, 2025
- HNW RAUM · $2.2B to $2.6BAug 7, 2025 to Dec 22, 2025
- Individual RAUM · $2.2B to $2.3BAug 7, 2025 to Dec 22, 2025
- Non-discretionary RAUM · $1.4B to $1.3BAug 7, 2025 to Dec 22, 2025
- RAUM · $4.5B to $5.1BAug 7, 2025 to Dec 22, 2025
- Financial planning clients · 51-100 to 51-100Jun 11, 2025 to Jul 31, 2025
- Accounts · 14,019 to 14,988Nov 20, 2024 to Dec 18, 2024
- Advisory employees · 242 to 233Nov 20, 2024 to Dec 18, 2024
- BD registered reps · 242 to 232Nov 20, 2024 to Dec 18, 2024
- Charity clients · 6 to 3Nov 20, 2024 to Dec 18, 2024
- Corporate clients · 73 to 97Nov 20, 2024 to Dec 18, 2024
- HNW clients · 648 to 836Nov 20, 2024 to Dec 18, 2024
- Individual clients · 8,547 to 8,958Nov 20, 2024 to Dec 18, 2024
- Employees · 242 to 233Nov 20, 2024 to Dec 18, 2024
- State-registered IARs · 242 to 228Nov 20, 2024 to Dec 18, 2024
- Other offices · 153 to 147Nov 20, 2024 to Dec 18, 2024
- Discretionary RAUM · $2.1B to $3.1BNov 20, 2024 to Dec 18, 2024
- HNW RAUM · $1.4B to $2.2BNov 20, 2024 to Dec 18, 2024
- Individual RAUM · $1.8B to $2.2BNov 20, 2024 to Dec 18, 2024
- Non-discretionary RAUM · $1.2B to $1.4BNov 20, 2024 to Dec 18, 2024
- RAUM · $3.3B to $4.5BNov 20, 2024 to Dec 18, 2024
- Related adviser · false to trueNov 20, 2024 to Dec 18, 2024
- Business name · S• S•••• I••••••••• A••••••• I••• to S••••• A••••••• I•••Jan 31, 2024 to Apr 15, 2024
- Legal name · S• S•••• I••••••••• A••••••• I••• to S••••• A••••••• I•••Dec 19, 2023 to Jan 31, 2024
- Accounts · 10,844 to 14,019Dec 22, 2022 to Dec 19, 2023
- Advisory employees · 245 to 242Dec 22, 2022 to Dec 19, 2023
- BD registered reps · 278 to 242Dec 22, 2022 to Dec 19, 2023
- Charity clients · 3 to 6Dec 22, 2022 to Dec 19, 2023
- Corporate clients · 71 to 73Dec 22, 2022 to Dec 19, 2023
- HNW clients · 496 to 648Dec 22, 2022 to Dec 19, 2023
Signals
60 dated events
- C••••••••• R••••• G••••••••• left S••••• A••••••• I••• for P••• L••• F•••••••• G•••• L•• (registered 2026-09-10)Sep 10, 2026 · a•••••• firm change · fact
- G••••• L•• C••••••• left S••••• A••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2026-07-06)Jun 29, 2026 · a•••••• firm change · fact
- 3 advisors left S••••• A••••••• I••• (Birmingham, AL) for L•• F•••••••• L•• on the same dayJun 2, 2026 · Team lift-out · derived
- J••••• M• H••••••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2026-06-03)Jun 2, 2026 · a•••••• firm change · fact
- S••••• S•••••••• D•••••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2026-06-02)Jun 2, 2026 · a•••••• firm change · fact
- J••••• T•••• B•••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2026-06-03)Jun 2, 2026 · a•••••• firm change · fact
- J••• F•••••• C•••••• left S••••• A••••••• I••• for T•••• A••••••• G•••• L•• (registered 2024-12-17)Apr 1, 2026 · a•••••• firm change · fact
- S••••• H•••••• R••••••• left S••••• A••••••• I••• for J••• M••••• S••••••••• L•• (registered 2026-03-13)Mar 20, 2026 · a•••••• firm change · fact
- J•••• G••••• M•••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-12)Feb 13, 2026 · a•••••• firm change · fact
- J•••• R•••• C••••••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-12)Feb 13, 2026 · a•••••• firm change · fact
- J••••• A• G•••••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-12)Feb 13, 2026 · a•••••• firm change · fact
- M••• E••• S••••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-09)Feb 11, 2026 · a•••••• firm change · fact
- C•••••• M•••••• J•••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-06)Feb 11, 2026 · a•••••• firm change · fact
- A•••••• B•••• N•••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-09)Feb 11, 2026 · a•••••• firm change · fact
- J••• W• P••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-06)Feb 11, 2026 · a•••••• firm change · fact
- A•••• G• W••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-17)Feb 11, 2026 · a•••••• firm change · fact
- M••••• D•••• M•••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-09)Feb 11, 2026 · a•••••• firm change · fact
- 10 advisors left S••••• A••••••• I••• (Florence, AL) for A••••• I••••••••• A••••••• L•• within 3 daysFeb 10, 2026 · Team lift-out · derived
- S••••• D••••• B•••••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-02-05)Feb 10, 2026 · a•••••• firm change · fact
- J•••• H•••••• A•••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2026-01-15)Jan 14, 2026 · a•••••• firm change · fact
- S••••• A••••••• I••• reported 155 offices beyond its principal office, up from 147 (2025-08-07 to 2025-12-22)Dec 22, 2025 · Office count change · derived
- 2 advisors left B••••• G••••• A•••• M••••••••• (Miami, FL) for S••••• A••••••• I••• on the same dayDec 22, 2025 · Team lift-out · derived
- D•••• K•••• G••••• left S••••• A••••••• I••• for S••••• M••••••••• (registered 2025-12-01)Dec 3, 2025 · a•••••• firm change · fact
- T•••••• B•••• W•••• left S••••• A••••••• I••• for A••••• I••••••••• A••••••• L•• (registered 2025-11-21)Nov 20, 2025 · a•••••• firm change · fact
- A•••••• J•••••• D• S•••• E• S•••• left S••••• A••••••• I••• for X• A••••••• U•• I••• (registered 2025-12-16)Nov 11, 2025 · a•••••• firm change · fact
- J••• F••••• left S••••• A••••••• I••• for V••• F•••••••• A•••••••• I••• (registered 2025-12-10)Nov 4, 2025 · a•••••• firm change · fact
- E••••• A•••• M•••••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2025-07-22)Jul 21, 2025 · a•••••• firm change · fact
- E•••• A•••• C•• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2025-06-25)Jul 1, 2025 · a•••••• firm change · fact
- 3 advisors left S••••• A••••••• I••• (Covington, KY) for L•• F•••••••• L•• within 7 daysJun 24, 2025 · Team lift-out · derived
- R•• L•• L•••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2025-08-25)Jun 24, 2025 · a•••••• firm change · fact
Across DFX
shared identifiers only, never a name match
- S• S•••• I••••••••• A••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 800-292-2411reportedpublic record, Form ADV, Jun 17, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026