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
S•••• T••••••• A•••••••• L••
Latest filing Aug 25, 2026
First filing on the tape Jan 19, 2021 · 16 filings
SEC status approved since Feb 22, 2021
RAUM
$852M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
44%
$377M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$852M as of Aug 25, 2026
Mar 14, 2022$526M then
HNW client RAUM$306M as of Aug 25, 2026
Mar 14, 2022$243M then
State-registered IARs (5.B.3)6 as of Aug 25, 2026
Mar 14, 20223 then
Employees (5.A)8 as of Aug 25, 2026
Mar 14, 20224 then
Private funds: no history
RAUM +16% over the last fiscal year+8.6% a year over threeIARs 7 to 6offices 1 to 0
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $993,302derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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
- Custody
- $105M, 208 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$465M55%
- High-net-worth individuals$306M36%
- Individuals$71.7M8.4%
- Corporations and businesses$7.3M0.9%
- Charitable organizations$1.4M0.2%
- State and municipal entities$1.2M0.1%
- Individual clients
- 236reported
- HNW clients
- 91reported
- Pension plan clients
- 8reported
- Charitable clients
- 3reported
- Accounts
- 858reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $105M for 208 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.44 fund_share=0.0 institutional_share=0.55 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C••••• T••••••• | Huntsville, Al | Mar 8, 2021 | 36 y | 2 |
| S•••• N••••• D••••••• | Huntsville, Al | Mar 8, 2021 | 18 y | 2 |
| D•••• M••• R••••• | Huntsville, Al | Mar 8, 2021 | 30 y | 2 |
| W•••••• P•••••• S•••• | Huntsville, Al | Mar 8, 2021 | 13 y | 1 |
| R•••••• J••••• S•••• | Huntsville, Al | Dec 6, 2021 | 41 y | 2 |
| J•••••• C••••• K••••• | Huntsville, Al | Jun 9, 2022 | 12 y | 1 |
| W•••••• K••• D•••••••• | Huntsville, Al | Sep 9, 2024 | 12 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
none on the tape
Joined, latest
- J•••••• C••••• K••••• from T••••••• I••••••••• M•••••••••Jun 9, 2022 · Other
- R•••••• J••••• S•••• from W•••• F•••• A•••••••Dec 6, 2021 · Wirehouse to independent RIA
- D•••• M••• R••••• from W•••• F•••• A•••••••Mar 8, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••••• P•••••• S•••• from W•••• F•••• A•••••••Mar 8, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• N••••• D••••••• from W•••• F•••• A•••••••Mar 8, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••• C••••• T••••••• from W•••• F•••• A•••••••Mar 8, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from W•••• F•••• A•••••••Mar 8, 2021 · Huntsville, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• R••••••• J••••• · Managing Membercontrolsince 01/2021 · owns 25% to 50%
- S••••• W••••••• P•••••• · Managing Membercontrolsince 01/2021 · owns 10% to 25%
- T•••••••• S•••••• C••••• · Managing Membercontrolsince 01/2021 · owns 50% to 75%
- R•••••• D••••• M••• · Chief Compliance Officersince 01/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Huntsville, Al · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Aug 25, 2026institutional share of RAUM of 55% against a peer median of 2% (1482 comparable advisers, 98.0th percentile, 18.0 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 23, 2026 to Aug 25, 2026
- Employees · 9 to 8Mar 23, 2026 to Aug 25, 2026
- State-registered IARs · 7 to 6Mar 23, 2026 to Aug 25, 2026
- Other offices · 1 to 0Mar 23, 2026 to Aug 25, 2026
- Accounts · 782 to 858Jan 2, 2026 to Mar 23, 2026
- Charity clients · unset to 3.0Jan 2, 2026 to Mar 23, 2026
- Corporate clients · unset to 2.0Jan 2, 2026 to Mar 23, 2026
- HNW clients · 81 to 91Jan 2, 2026 to Mar 23, 2026
- Individual clients · 241 to 236Jan 2, 2026 to Mar 23, 2026
- Pension plan clients · 5 to 8Jan 2, 2026 to Mar 23, 2026
- Assets in custody · $86.9M to $105MJan 2, 2026 to Mar 23, 2026
- Discretionary RAUM · $609M to $731MJan 2, 2026 to Mar 23, 2026
- HNW RAUM · $259M to $306MJan 2, 2026 to Mar 23, 2026
- Individual RAUM · $61.6M to $71.7MJan 2, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $125M to $121MJan 2, 2026 to Mar 23, 2026
- Pension RAUM · $405M to $465MJan 2, 2026 to Mar 23, 2026
- RAUM · $734M to $852MJan 2, 2026 to Mar 23, 2026
- Related broker-dealer · false to trueMar 19, 2025 to Jan 2, 2026
- Accounts · 765 to 782Oct 10, 2024 to Mar 19, 2025
- BD registered reps · 3 to 5Oct 10, 2024 to Mar 19, 2025
- HNW clients · 80 to 81Oct 10, 2024 to Mar 19, 2025
- Individual clients · 224 to 241Oct 10, 2024 to Mar 19, 2025
- Pension plan clients · 23 to 5Oct 10, 2024 to Mar 19, 2025
- Assets in custody · $74.5M to $86.9MOct 10, 2024 to Mar 19, 2025
- Employees · 6 to 9Oct 10, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Oct 10, 2024 to Mar 19, 2025
- State-registered IARs · 6 to 7Oct 10, 2024 to Mar 19, 2025
- Discretionary RAUM · $189M to $609MOct 10, 2024 to Mar 19, 2025
- HNW RAUM · $245M to $259MOct 10, 2024 to Mar 19, 2025
- Individual RAUM · $53.9M to $61.6MOct 10, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $547M to $125MOct 10, 2024 to Mar 19, 2025
- Pension RAUM · $427M to $405MOct 10, 2024 to Mar 19, 2025
- RAUM · $735M to $734MOct 10, 2024 to Mar 19, 2025
- Advisory employees · 4 to 6Aug 14, 2024 to Oct 10, 2024
- State-registered IARs · 4 to 6Aug 14, 2024 to Oct 10, 2024
- Accounts · 697 to 765Jun 15, 2023 to Mar 18, 2024
- BD registered reps · 5 to 3Jun 15, 2023 to Mar 18, 2024
- HNW clients · 63 to 80Jun 15, 2023 to Mar 18, 2024
- Individual clients · 231 to 224Jun 15, 2023 to Mar 18, 2024
- Pension plan clients · 25 to 23Jun 15, 2023 to Mar 18, 2024
Signals
2 dated events
- S•••• T••••••• A•••••••• L•• reported RAUM $665.2M, up 26% from $526.0M (2022-03-14 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- S•••• T••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 19, 2021 · 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
- Firm profile
- linkedin.com/company/smith-thornton-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••T•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 256-715-7715reportedpublic record, Form ADV, Aug 25, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026