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

T••••• R•••• L••

Former SEC-registered adviserBirmingham, AlabamaCRD 298184SEC 801-113862IAPD
Latest filing Dec 19, 2018
First filing on the tape Jul 19, 2018 · 7 filings
RAUM
$9.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
30%
$2.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$4.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$9.8M as of Dec 19, 2018
Dec 18, 2018$9.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Dec 19, 2018
Jul 19, 20181 then
Employees (5.A)2 as of Dec 19, 2018
Jul 19, 20181 then
Private funds: no history
Practice profile
derived from the filing of Dec 19, 2018; every figure names its basis
RAUM per advisor
$4.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$890,201derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$5.6M, 3 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.9M100%
Individual clients
9reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
11reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$5.6M for 3 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• D• C•••••••Personal Financial SpecialistBirmingham, AlFeb 19, 201937 y2
G••••• C•••• C•••••••Personal Financial SpecialistBirmingham, AlJun 19, 202418 y0
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••••• J••••• D• · Managing Principal/ Member/ Chief Compliance Officercontrol
      since 07/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Birmingham, Al · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 13 to 11
      Dec 18, 2018 to Dec 19, 2018
    • Accounts · unset to 13.0
      Nov 16, 2018 to Dec 18, 2018
    • Charity clients · unset to 0.0
      Nov 16, 2018 to Dec 18, 2018
    • Corporate clients · unset to 0.0
      Nov 16, 2018 to Dec 18, 2018
    • HNW clients · unset to 0.0
      Nov 16, 2018 to Dec 18, 2018
    • Individual clients · unset to 9.0
      Nov 16, 2018 to Dec 18, 2018
    • Pension plan clients · unset to 0.0
      Nov 16, 2018 to Dec 18, 2018
    • Pooled vehicle clients · unset to 0.0
      Nov 16, 2018 to Dec 18, 2018
    • Assets in custody · unset to 5555342.0
      Nov 16, 2018 to Dec 18, 2018
    • Custody of client assets · false to true
      Nov 16, 2018 to Dec 18, 2018
    • Financial planning clients · 0 to 11-25
      Nov 16, 2018 to Dec 18, 2018
    • Discretionary RAUM · unset to 9792207.0
      Nov 16, 2018 to Dec 18, 2018
    • Individual RAUM · unset to 2897397.0
      Nov 16, 2018 to Dec 18, 2018
    • Non-discretionary RAUM · unset to 0.0
      Nov 16, 2018 to Dec 18, 2018
    • RAUM · unset to 9792207.0
      Nov 16, 2018 to Dec 18, 2018
    • Employees · 1 to 2
      Sep 10, 2018 to Nov 16, 2018
    Signals
    1 dated events
    • T••••• R•••• L•• filed its initial SEC registration (Form ADV)
      Jul 19, 2018 · 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
    Website
    T•••••R•••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $4.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026