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.
SEC-registered adviser
Sunburst Financial Group, LLC
Latest filing May 4, 2026
First filing on the tape Apr 14, 2016 · 44 filings
SEC status approved since Apr 22, 2016
RAUM
$808M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
89%
$716M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$808M as of May 4, 2026
Mar 22, 2017$178M then
HNW client RAUM$595M as of May 4, 2026
Mar 17, 2018$146M then
State-registered IARs (5.B.3)7 as of May 4, 2026
Mar 22, 20175 then
Employees (5.A)9 as of May 4, 2026
Mar 22, 20175 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 8 to 7
Practice profile
derived from the filing of May 4, 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
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $344,444derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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 consultingreportedItem 5.G
- Custody
- $232M, 411 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$595M74%
- Individuals$121M15%
- Pension and profit-sharing plans$69.2M8.6%
- Charitable organizations$13.6M1.7%
- Corporations and businesses$9.6M1.2%
- Individual clients
- 609reported
- HNW clients
- 256reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 2,346reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $232M for 411 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Randolph MartinCertified Financial Planner | Vestavia Hills, Al | May 11, 2016 | 38 y | 3 |
| Robert Barry RheaCertified Financial Planner, Chartered Financial Consultant | Vestavia Hills, Al | May 16, 2016 | 28 y | 2 |
| Jonathan Michael WinzelerCertified Financial Planner, Chartered Financial Consultant | Vestavia Hills, Al | Jul 15, 2016 | 25 y | 2 |
| Matthew S Morris | Vestavia Hills, Al | Jul 15, 2016 | 11 y | 0 |
| John Russell Martin | Vestavia Hills, Al | Aug 5, 2016 | 24 y | 3 |
| Zachary Herschel BullockCertified Financial Planner | Vestavia Hills, Al | Dec 1, 2020 | 16 y | 0 |
| Davis Windham EnnisCertified Financial Planner | Vestavia Hills, Al | Nov 26, 2024 | 12 y | 0 |
| Blair Bonham Herrington | Vestavia Hills, Al | Jul 30, 2026 | 11 y | 0 |
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
- Wilson Perry Barton to Cardinal Wealth Advisory, LLCAug 13, 2020 · Other
Joined, latest
- John Russell Martin from Cambridge Investment Research Advisors, Inc.Aug 5, 2016 · Other
- Jonathan Michael Winzeler from Cambridge Investment Research Advisors, Inc.Jul 15, 2016 · Other
- Robert Barry Rhea from Cambridge Investment Research Advisors, Inc.May 16, 2016 · Other
- James Randolph Martin from Cambridge Investment Research Advisors, Inc.May 11, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Cambridge Investment Research Advisors, Inc.Jul 15, 2016 · Vestavia Hills, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Randolph James Martin · Chief Compliance Officer And Managing Membercontrolsince 04/2016 · owns 50% to 75%
- Barry Robert Rhea · Member & Chief Financial Officercontrolsince 04/2016 · owns 10% to 25%
- Michael Jonathan Winzeler · Member & Chief Investment Officercontrolsince 04/2016 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Vestavia Hills, Al · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,103 to 2,346Mar 21, 2025 to Jan 28, 2026
- HNW clients · 218 to 256Mar 21, 2025 to Jan 28, 2026
- Individual clients · 564 to 609Mar 21, 2025 to Jan 28, 2026
- Pension plan clients · 11 to 12Mar 21, 2025 to Jan 28, 2026
- Assets in custody · $273M to $232MMar 21, 2025 to Jan 28, 2026
- State-registered IARs · 8 to 7Mar 21, 2025 to Jan 28, 2026
- Discretionary RAUM · $643M to $741MMar 21, 2025 to Jan 28, 2026
- HNW RAUM · $503M to $595MMar 21, 2025 to Jan 28, 2026
- Individual RAUM · $126M to $121MMar 21, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $56.1M to $67.5MMar 21, 2025 to Jan 28, 2026
- Pension RAUM · $57.4M to $69.2MMar 21, 2025 to Jan 28, 2026
- RAUM · $699M to $808MMar 21, 2025 to Jan 28, 2026
- Accounts · 1,785 to 2,103Jan 23, 2025 to Mar 21, 2025
- HNW clients · 181 to 218Jan 23, 2025 to Mar 21, 2025
- Individual clients · 539 to 564Jan 23, 2025 to Mar 21, 2025
- Pension plan clients · 10 to 11Jan 23, 2025 to Mar 21, 2025
- Assets in custody · $234M to $273MJan 23, 2025 to Mar 21, 2025
- Financial planning clients · 1-10 to 1-10Jan 23, 2025 to Mar 21, 2025
- State-registered IARs · 6 to 8Jan 23, 2025 to Mar 21, 2025
- Discretionary RAUM · $532M to $643MJan 23, 2025 to Mar 21, 2025
- HNW RAUM · $387M to $503MJan 23, 2025 to Mar 21, 2025
- Individual RAUM · $133M to $126MJan 23, 2025 to Mar 21, 2025
- Non-discretionary RAUM · $46.5M to $56.1MJan 23, 2025 to Mar 21, 2025
- Pension RAUM · $47.2M to $57.4MJan 23, 2025 to Mar 21, 2025
- RAUM · $578M to $699MJan 23, 2025 to Mar 21, 2025
- Accounts · 1,656 to 1,785Nov 14, 2023 to Mar 25, 2024
- Advisory employees · 7 to 6Nov 14, 2023 to Mar 25, 2024
- HNW clients · 184 to 181Nov 14, 2023 to Mar 25, 2024
- Individual clients · 521 to 539Nov 14, 2023 to Mar 25, 2024
- Assets in custody · $181M to $234MNov 14, 2023 to Mar 25, 2024
- Employees · 10 to 9Nov 14, 2023 to Mar 25, 2024
- State-registered IARs · 7 to 6Nov 14, 2023 to Mar 25, 2024
- Discretionary RAUM · $463M to $532MNov 14, 2023 to Mar 25, 2024
- HNW RAUM · $343M to $387MNov 14, 2023 to Mar 25, 2024
- Individual RAUM · $109M to $133MNov 14, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $37.0M to $46.5MNov 14, 2023 to Mar 25, 2024
- Pension RAUM · $37.9M to $47.2MNov 14, 2023 to Mar 25, 2024
- RAUM · $500M to $578MNov 14, 2023 to Mar 25, 2024
- Accounts · 1,493 to 1,656Jun 30, 2022 to Mar 31, 2023
- Advisory employees · 8 to 7Jun 30, 2022 to Mar 31, 2023
Signals
2 dated events
- Sunburst Financial Group, Llc reported RAUM $493.7M, up 26% from $392.9M (2021-03-19 to 2022-02-11)Feb 11, 2022 · RAUM change · derived
- Sunburst Financial Group, Llc filed its initial SEC registration (Form ADV)Apr 14, 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 email
- tlane@sunburstfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-823-4554reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-823-4949reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SUNBURSTFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 205-823-4949reportedpublic record, Form ADV, May 4, 2026
- Team page
- sunburstfinancial.com/meet-our-teamreportedpublished 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026