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
I•••••• A•••••••
Legal name M••••••• F•••••••• S•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 10, 2016 · 24 filings
SEC status approved since Mar 18, 2016
RAUM
$444M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
61%
$269M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$55.4M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$444M as of Mar 31, 2026
Mar 2, 2017$129M then
HNW client RAUM$199M as of Mar 31, 2026
Jan 13, 2018$52.2M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 2, 20179 then
Employees (5.A)8 as of Mar 31, 2026
Mar 2, 201717 then
Private funds: no history
RAUM -24% over the last fiscal year+3.8% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 31, 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
- i••••••••• 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $55.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $893,566derivedHNW RAUM over HNW clients
- Average account
- $434,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$199M45%
- Pension and profit-sharing plans$163M37%
- Individuals$69.3M16%
- Corporations and businesses$9.3M2.1%
- Charitable organizations$2.7M0.6%
- Individual clients
- 417reported
- HNW clients
- 223reported
- Pension plan clients
- 65reported
- Charitable clients
- 5reported
- Accounts
- 1,022reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.61 fund_share=0.0 institutional_share=0.37 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M•••• H•••••Personal Financial Specialist | Auburn, Al | Jul 8, 2023 | 11 y | 0 |
| D••••• G• C••••••• | Montgomery, Al | Dec 3, 2024 | 23 y | 4 |
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 headcount2 left over 36 months
Left, latest
- J•••• H•••• P•••• to G•••••• W••••• P•••••••• L••Sep 1, 2025 · RIA to RIA
- J•••• B••••• to S•••••••• A••••••• L••Oct 14, 2024 · RIA to affiliated broker-dealer or bank
- C••••••••• M•••••• H•••• to I••••••••• A•••••• A•••••••• L••Nov 3, 2021 · RIA to RIA
- S•••• A••••• C•••• to A••••••••• F•••••••• S•••••••• L••Oct 25, 2018 · RIA to affiliated broker-dealer or bank
- J•••••• A••••• N•••• to O•••• F•• I•••May 11, 2017 · Other
Joined, latest
- M•••••• J•••• B••••••• from L•• F•••••••• L••Oct 11, 2018 · Other
- C••••••••• M•••••• H•••• from M••••• K••••• • C••••••• L••Jul 26, 2016 · Other
- J•••• H•••• P•••• from G••••• R••••••••• P••••••• L••Jul 8, 2016 · Other
- S•••• A••••• C•••• from L•• F•••••••• L••Jul 7, 2016 · Other
- J•••• B••••• from L•• F•••••••• L••Jul 7, 2016 · Other
- J•••••• A••••• N•••• from L•• F•••••••• L••Jul 7, 2016 · Other
- M••• K•••••• S•••• from L•• F•••••••• L••Jul 7, 2016 · Other
- D••••• G• C••••••• from L•• F•••••••• L••Jul 7, 2016 · Other
- L••• M•••• F••• from L•• F•••••••• L••Jul 7, 2016 · Other
- C••• B••••• M••••••• from L•• F•••••••• L••Jul 7, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from L•• F•••••••• L••Jul 7, 2016 · Auburn, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M••••••• J•••• · Chief Compliance Officer & Chief Operating Officercontrolsince 06/2020 · owns 50% to 75%
- M•••••••• C•••• B••••• · Managing Member / Presidentcontrolsince 02/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••• B••••• M•••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Montgomery, Al · principal | 8 | 0 | 0 | ||
| Auburn, Al | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Auburn, AL1 employees
- Dothan, AL1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 31, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $580,106,131 to $443,547,941, advisors 6 to 6, private clients 630 to 640, offices 2 to 2 (2025-03-31 to 2026-03-31)peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 43.0% to 61.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 30.0% to 45.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 44.0% to 63.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 57.0% to 39.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 713 to 1,022Mar 31, 2025 to Mar 31, 2026
- Charity clients · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 9 to 11Mar 31, 2025 to Mar 31, 2026
- HNW clients · 216 to 223Mar 31, 2025 to Mar 31, 2026
- Individual clients · 414 to 417Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 63 to 65Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $257M to $281MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $173M to $199MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $74.8M to $69.3MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $323M to $163MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $323M to $163MMar 31, 2025 to Mar 31, 2026
- RAUM · $580M to $444MMar 31, 2025 to Mar 31, 2026
- Accounts · 994 to 713Mar 29, 2024 to Mar 31, 2025
- HNW clients · 217 to 216Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $236M to $257MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $157M to $173MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $65.3M to $74.8MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $226M to $323MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $226M to $323MMar 29, 2024 to Mar 31, 2025
- RAUM · $462M to $580MMar 29, 2024 to Mar 31, 2025
- Accounts · 752 to 994Nov 9, 2023 to Mar 29, 2024
- Charity clients · 9 to 4Nov 9, 2023 to Mar 29, 2024
- Corporate clients · 3 to 9Nov 9, 2023 to Mar 29, 2024
- HNW clients · 315 to 217Nov 9, 2023 to Mar 29, 2024
- Individual clients · 448 to 414Nov 9, 2023 to Mar 29, 2024
- Pension plan clients · 80 to 63Nov 9, 2023 to Mar 29, 2024
- Financial planning clients · 1-10 to 26-50Nov 9, 2023 to Mar 29, 2024
- Discretionary RAUM · $208M to $236MNov 9, 2023 to Mar 29, 2024
- HNW RAUM · $138M to $157MNov 9, 2023 to Mar 29, 2024
- Individual RAUM · $66.9M to $65.3MNov 9, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $188M to $226MNov 9, 2023 to Mar 29, 2024
- Pension RAUM · $188M to $226MNov 9, 2023 to Mar 29, 2024
- RAUM · $396M to $462MNov 9, 2023 to Mar 29, 2024
- Accounts · 787 to 752Mar 21, 2022 to Mar 24, 2023
- Charity clients · 3 to 9Mar 21, 2022 to Mar 24, 2023
- Corporate clients · 7 to 3Mar 21, 2022 to Mar 24, 2023
- HNW clients · 168 to 315Mar 21, 2022 to Mar 24, 2023
- Individual clients · 592 to 448Mar 21, 2022 to Mar 24, 2023
- Pension plan clients · 15 to 80Mar 21, 2022 to Mar 24, 2023
Signals
8 dated events
- J•••• H•••• P•••• left I•••••• A••••••• for G•••••• W••••• P•••••••• L•• (registered 2026-04-10)Sep 1, 2025 · a•••••• firm change · fact
- I•••••• A••••••• reported RAUM $580.1M, up 25% from $462.4M (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- J•••• B••••• left I•••••• A••••••• for S•••••••• A••••••• L•• (registered 2025-08-20)Oct 14, 2024 · a•••••• firm change · fact
- I•••••• A••••••• reported RAUM $396.1M, up 95% from $203.3M (2022-03-21 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- Michael Christopher Hagen (Senior Vice President) no longer on Schedule A of I•••••• A••••••• (listed 2021-12-06, absent 2022-03-21)Mar 21, 2022 · Control person left · inference
- Michelle Karen Gantt (Chief Compliance Officer) no longer on Schedule A of I•••••• A••••••• (listed 2019-10-23, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
- James Michael Barranco (Chief Compliance Officer & Chief Operating Officer) appeared on Schedule A of I•••••• A•••••••Jun 29, 2020 · Control person joined · fact
- M••••••• • H•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 10, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 205-314-6202reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-314-6208reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-314-6209reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- invistaadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (334) 387-0094reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- waverly-advisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- waverly-advisors.com/peoplereportedpublished by the firm, firm site, Sep 15, 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
- $55.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026