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
Blalock Williams, LLC
Latest filing Mar 3, 2026
First filing on the tape Feb 23, 2024 · 8 filings
SEC status approved since Mar 25, 2024
RAUM
$243M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
77%
$186M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$243M as of Mar 3, 2026
Feb 25, 2025$176M then
HNW client RAUM$139M as of Mar 3, 2026
Feb 25, 2025$97.6M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Feb 25, 20252 then
Employees (5.A)4 as of Mar 3, 2026
Feb 25, 20254 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 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
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $335,135derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +42%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $4.8M, 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M57%
- Individuals$47.3M19%
- Corporations and businesses$23.3M9.6%
- Banks and thrifts$16.3M6.7%
- Pension and profit-sharing plans$15.4M6.4%
- Charitable organizations$1.2M0.5%
- Individual clients
- 197reported
- HNW clients
- 48reported
- Pension plan clients
- 22reported
- Charitable clients
- n/areported
- Accounts
- 724reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Butler BlalockCertified Financial Planner | Homewood, Al | Mar 9, 2023 | 21 y | 2 |
| Devereaux Lee WilliamsCertified Financial Planner | Alexander City, Al | Mar 9, 2023 | 21 y | 2 |
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
- John Butler Blalock from The Ascent Group, LLCMar 9, 2023 · RIA to RIA
- Devereaux Lee Williams from The Ascent Group, LLCMar 9, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Butler John Blalock · Co-Founder And Chief Executive Officercontrolsince 02/2023 · owns 50% to 75%
- Henderson Laura Lacey · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- Ashley Elizabeth Moman · Chief Operating Officercontrolsince 02/2023 · owns less than 5%
- Lee Devereaux Williams · Co-Founder And Chief Investment Officercontrolsince 02/2023 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Alexander City, Al · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Homewood, AL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 3, 2026RAUM (Item 5.F) moved from $176,235,342 to $242,637,986 (+38.0%) between the annual amendments of 2025-04-11 and 2026-03-03; the peer median change was +15.0% (4551 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 642 to 724Nov 24, 2025 to Mar 3, 2026
- Advisory activities · 4 to 5Nov 24, 2025 to Mar 3, 2026
- Corporate clients · 4 to 5Nov 24, 2025 to Mar 3, 2026
- HNW clients · 46 to 48Nov 24, 2025 to Mar 3, 2026
- Individual clients · 126 to 197Nov 24, 2025 to Mar 3, 2026
- Pension plan clients · 19 to 22Nov 24, 2025 to Mar 3, 2026
- Assets in custody · $897,675 to $4.8MNov 24, 2025 to Mar 3, 2026
- Discretionary RAUM · $165M to $230MNov 24, 2025 to Mar 3, 2026
- HNW RAUM · $97.6M to $139MNov 24, 2025 to Mar 3, 2026
- Individual RAUM · $42.6M to $47.3MNov 24, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $11.1M to $12.7MNov 24, 2025 to Mar 3, 2026
- Pension RAUM · $13.6M to $15.4MNov 24, 2025 to Mar 3, 2026
- RAUM · $176M to $243MNov 24, 2025 to Mar 3, 2026
- Financial planning clients · 1-10 to 1-10Feb 25, 2025 to Apr 11, 2025
- Accounts · 499 to 642Aug 30, 2024 to Feb 25, 2025
- Corporate clients · 8 to 4Aug 30, 2024 to Feb 25, 2025
- HNW clients · 18 to 46Aug 30, 2024 to Feb 25, 2025
- Individual clients · 435 to 126Aug 30, 2024 to Feb 25, 2025
- Pension plan clients · 9 to 19Aug 30, 2024 to Feb 25, 2025
- Assets in custody · unset to 897675.0Aug 30, 2024 to Feb 25, 2025
- Custody of client assets · false to trueAug 30, 2024 to Feb 25, 2025
- Discretionary RAUM · $96.1M to $165MAug 30, 2024 to Feb 25, 2025
- HNW RAUM · $44.7M to $97.6MAug 30, 2024 to Feb 25, 2025
- Individual RAUM · $41.9M to $42.6MAug 30, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $9.4M to $11.1MAug 30, 2024 to Feb 25, 2025
- Pension RAUM · $11.6M to $13.6MAug 30, 2024 to Feb 25, 2025
- RAUM · $106M to $176MAug 30, 2024 to Feb 25, 2025
Signals
1 dated events
- Blalock Williams, Llc filed its initial SEC registration (Form ADV)Feb 23, 2024 · 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
- 205-779-0795reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 205-779-0873reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 256-444-6243reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/blalock-williamsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- blalockwilliams.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (256) 444-6256reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- blalockwilliams.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026