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

A••••• I••••••••• L••

Asset manager (funds and pooled vehicles)Birmingham, AlabamaCRD 327805SEC 801-128617websiteIAPD
Latest filing Apr 1, 2025
First filing on the tape Jul 24, 2023 · 4 filings
SEC status approved since Aug 24, 2023
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$106M as of Apr 1, 2025
Mar 29, 2024$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2025
Mar 29, 20240 then
Employees (5.A)11 as of Apr 1, 2025
Mar 29, 202410 then
Private funds1 as of Apr 1, 2025
Mar 29, 20241 then
RAUM -5.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2025; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$53.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$105M, 1 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)
  • 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
  • Pooled investment vehicles$106M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$105M for 1 clientsreported
Compensation
performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• F••• I• L••Private Equity Fund$97.6M91Jul 24, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • I•••••• R•••••• C••••••••• · Member/Directorcontrol
        since 06/2020 · owns 5% to 10%
      • N•••••• W••••••• H•••• · Member/Directorcontrol
        since 06/2020 · owns less than 5%
      • N•••••• D••• H••• · Member/Directorcontrol
        since 06/2020 · owns 5% to 10%
      • A••••• T••• · Membercontrol
        since 06/2020 · owns 25% to 50% of A•••• I••••••••• L•••
      • M•••••• C•••••• · Membercontrol
        since 06/2020 · owns 25% to 50% of M••••• I••••••••• L•••
      • H••••••• N••••• · Chief Compliance Officer
        since 06/2020 · owns less than 5%
      Entity owners
      • A•••• I••••••••• L••• · Member
        direct · owns 25% to 50%
      • M••••• H•••••••• L•• · Member
        direct · owns 25% to 50%
      • M••••• I••••••••• L••• · Member
        indirect · owns 25% to 50% of M••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      • A••••• G•••••• P•••••••• L••
        pooled vehicle sponsory
      • G•••• R••• M••••••••• L••
        pooled vehicle sponsory
      • G•••• R•••• L••
        pooled vehicle sponsory
      • N••• R••••••••• G••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $99.9M to $105M
        May 22, 2024 to Apr 1, 2025
      • Employees · 10 to 11
        May 22, 2024 to Apr 1, 2025
      • Financial planning clients · unset to
        May 22, 2024 to Apr 1, 2025
      • Discretionary RAUM · $112M to $106M
        May 22, 2024 to Apr 1, 2025
      • Pooled vehicle RAUM · $112M to $106M
        May 22, 2024 to Apr 1, 2025
      • RAUM · $112M to $106M
        May 22, 2024 to Apr 1, 2025
      • Advisory employees · 7 to 6
        Jul 24, 2023 to Mar 29, 2024
      • Discretionary RAUM · $136M to $112M
        Jul 24, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $136M to $112M
        Jul 24, 2023 to Mar 29, 2024
      • RAUM · $136M to $112M
        Jul 24, 2023 to Mar 29, 2024
      Signals
      1 dated events
      • A••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 24, 2023 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/abacus-investmentsreportedpublic record, Form ADV, Sep 18, 2026
      Website
      a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      205-661-8189reportedpublic record, Form ADV, Apr 1, 2025
      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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026