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

E•••••• W•••••• L••

Former SEC-registered adviserBirmingham, AlabamaCRD 282538SEC 801-107187IAPD
Latest filing Mar 30, 2021
First filing on the tape Jan 15, 2016 · 10 filings
RAUM
$62.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$59.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$62.8M as of Mar 30, 2021
Mar 20, 2017$20.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2021
Mar 20, 20171 then
Employees (5.A)2 as of Mar 30, 2021
Mar 20, 20172 then
Private funds: no history
RAUM +23% over the last fiscal year+24% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$62.8MderivedRAUM 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
$157,717derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.1derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$59.7M95%
  • Pension and profit-sharing plans$3.1M5.0%
Individual clients
168reported
HNW clients
n/areported
Pension plan clients
9reported
Charitable clients
n/areported
Accounts
398reported
Financial planning clients
101-250reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• S•••••• C••• · Secretary/Treasurercontrol
        since 01/2016 · owns less than 5%
      • C••• J•••• B•••• · Chief Investment Officercontrol
        since 03/2019 · owns less than 5%
      • J••••••• A•••••• W••••• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • N••••••• M••••••• L••••• · Vice Presidentcontrol
        since 01/2016 · owns less than 5%
      • R••••••••• J•••••• L•••• · Presidentcontrol
        since 01/2016 · owns less than 5%
      • R••••••• J•••••• T••••• · Chief Operating Officercontrol
        since 03/2019 · owns less than 5%
      • E••••••• M•••• F••••• · Elected Officercontrol
        since 01/2018 · owns F of W••••• A•••••• C••••••••• L••
      • H••••• A•••• · Elected Officercontrol
        since 01/2012 · owns F of W••••• A•••••• C••••••••• L••
      • S••••••• R••••••• M•••• · Elected Officercontrol
        since 01/2012 · owns F of W••••• A•••••• C••••••••• L••
      Entity owners
      • W••••• A•••••• A•••• M••••••••• L•• · Managing Member
        direct · owns 75% or more
      • W••••• A•••••• C••••••••• L•• · Sole Owner
        indirect · owns 75% or more of W••••• A•••••• A•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      • K•••••••• L••
        pooled vehicle sponsorn
      • N••••••• A••••••• H•••••••• I•••
        n
      • Waverly Advisors, LLC
        investment adviserpooled vehicle sponsoryRAUM $30B
      • W••••• A•••••• B•••••• C••••••••• L••
        LP sponsorn
      • W••••• A••••••• L••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      • Birmingham, AL14 employees
      • Pensacola, FL4 employees
      • Huntsville, AL2 employees
      • Atlanta, GA1 employees
      • Montgomery, AL1 employees
      • Tampa, FL1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 374 to 398
        Jun 30, 2020 to Mar 30, 2021
      • Advisory activities · 4 to 5
        Jun 30, 2020 to Mar 30, 2021
      • Individual clients · 150 to 168
        Jun 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $50.8M to $62.8M
        Jun 30, 2020 to Mar 30, 2021
      • Individual RAUM · $49.0M to $59.7M
        Jun 30, 2020 to Mar 30, 2021
      • Pension RAUM · $1.8M to $3.1M
        Jun 30, 2020 to Mar 30, 2021
      • RAUM · $50.8M to $62.8M
        Jun 30, 2020 to Mar 30, 2021
      • Accounts · 348 to 374
        Mar 29, 2019 to Mar 30, 2020
      • Advisory activities · 5 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Corporate clients · 1.0 to unset
        Mar 29, 2019 to Mar 30, 2020
      • Individual clients · 132 to 150
        Mar 29, 2019 to Mar 30, 2020
      • Financial planning clients · 251-500 to 101-250
        Mar 29, 2019 to Mar 30, 2020
      • Other offices · 5 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $39.2M to $50.8M
        Mar 29, 2019 to Mar 30, 2020
      • Individual RAUM · $37.9M to $49.0M
        Mar 29, 2019 to Mar 30, 2020
      • Pension RAUM · $889,623 to $1.8M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $39.2M to $50.8M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 274 to 348
        Oct 18, 2018 to Mar 29, 2019
      • Corporate clients · unset to 1.0
        Oct 18, 2018 to Mar 29, 2019
      • Individual clients · 118 to 132
        Oct 18, 2018 to Mar 29, 2019
      • Pension plan clients · unset to 9.0
        Oct 18, 2018 to Mar 29, 2019
      • Financial planning clients · 101-250 to 251-500
        Oct 18, 2018 to Mar 29, 2019
      • Discretionary RAUM · $32.8M to $39.2M
        Oct 18, 2018 to Mar 29, 2019
      • Individual RAUM · $32.8M to $37.9M
        Oct 18, 2018 to Mar 29, 2019
      • Pension RAUM · unset to 889623.0
        Oct 18, 2018 to Mar 29, 2019
      • RAUM · $32.8M to $39.2M
        Oct 18, 2018 to Mar 29, 2019
      • Accounts · 221 to 274
        Jul 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 118.0
        Jul 31, 2017 to Mar 30, 2018
      • Financial planning clients · 51-100 to 101-250
        Jul 31, 2017 to Mar 30, 2018
      • Other offices · unset to 5.0
        Jul 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $26.4M to $32.8M
        Jul 31, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 32814063.0
        Jul 31, 2017 to Mar 30, 2018
      • RAUM · $26.4M to $32.8M
        Jul 31, 2017 to Mar 30, 2018
      • Accounts · 196 to 221
        Mar 20, 2017 to Jul 31, 2017
      • Discretionary RAUM · $20.2M to $26.4M
        Mar 20, 2017 to Jul 31, 2017
      • RAUM · $20.2M to $26.4M
        Mar 20, 2017 to Jul 31, 2017
      • Accounts · 122 to 196
        Jul 27, 2016 to Mar 20, 2017
      • Insurance-licensed employees · 0 to 1
        Jul 27, 2016 to Mar 20, 2017
      • Financial planning clients · 0 to 51-100
        Jul 27, 2016 to Mar 20, 2017
      • Discretionary RAUM · $14.2M to $20.2M
        Jul 27, 2016 to Mar 20, 2017
      Signals
      5 dated events
      • Aaron Michael Nelson no longer registered at E•••••• W•••••• L••; no later IA registration on IAPD
        Jan 18, 2022 · Advisor departure · fact
      • Brown John Cox (Chief Investment Officer) appeared on Schedule A of E•••••• W•••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Wright Andrea Johnson (Chief Compliance Officer) appeared on Schedule A of E•••••• W•••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Jones Irby Thompson (Vice President) no longer on Schedule A of E•••••• W•••••• L•• (listed 2018-10-18, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • E•••••• W•••••• L•• filed its initial SEC registration (Form ADV)
        Jan 15, 2016 · 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