DFX Intelligence

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STATE REGISTEREDFormer SEC adviser· Huntsville, Alabamawebsite

STATE REGISTERED, based in Huntsville, Alabama, reporting $30.3M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $30.3M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: 100% of RAUM, $30.3M

Advisors Advisor movement Where the RAUM sits

As of 2026-01-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 327837 · 1 filingsShow

CRD 327837First filing on the tape Jan 30, 2026, latest Jan 30, 2026IAPD

RAUM

$30.3M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

100%

$30.3M individuals and HNW

Advisors

n/a

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

0 filings and snapshots on the tape

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3): no history

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of Jan 30, 2026; every figure names its basis

RAUM per advisor: $15.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 21derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $721,733derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$18.4M61%
Individuals$12.0M39%

Individual clients: 33reported
HNW clients: 9reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 42reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: on the IAPD state feed, not SEC-registeredderived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M••• H••• M••••••	Huntsville, Al	Sep 29, 2023	14 y	1
L•••• J•••••• S••••••	Huntsville, Al	Jan 30, 2024	12 y	0

Advisor movement

Left, latest

none on the tape

Joined, latest

M••• H••• M•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Sep 29, 2023 · Affiliated broker-dealer or bank to a state-registered adviser

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

No Schedule A on the extract for this adviser.

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	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

No event on the tape.

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: ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 30, 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: STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 15, 2026