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•••••••• A•••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Nov 27, 2023 · 11 filings
SEC status approved since Jan 10, 2024
RAUM
$431M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$428M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$431M as of Aug 13, 2026
Mar 7, 2025$368M then
HNW client RAUM$359M as of Aug 13, 2026
Mar 7, 2025$284M then
State-registered IARs (5.B.3)4 as of Aug 13, 2026
Mar 7, 20254 then
Employees (5.A)5 as of Aug 13, 2026
Mar 7, 20255 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Aug 13, 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
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $344,866derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $260M, 143 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
- High-net-worth individuals$359M83%
- Individuals$69.0M16%
- Pension and profit-sharing plans$1.5M0.3%
- Corporations and businesses$457,7470.1%
- Charitable organizations$399,8880.1%
- Individual clients
- 203reported
- HNW clients
- 130reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 1,249reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $260M for 143 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• C• D••••••• | Birmingham, Al | Jan 12, 2024 | 14 y | 1 |
| T••••• H•••Certified Financial Planner | Birmingham, Al | Jan 12, 2024 | 17 y | 1 |
| T•••• J••••• D••••• | Birmingham, Al | Jan 12, 2024 | 11 y | 1 |
| M••••••• C• D••• | Birmingham, Al | Jan 12, 2024 | 28 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
- A•• C• D••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 12, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T••••• H••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 12, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••••• C• D••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 12, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T•••• J••••• D••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 12, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 16, 2024 · Birmingham, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• A••• C• · Partnercontrolsince 01/2024 · owns 10% to 25%
- D•••• M•••••••• C• · Chief Compliance Officer, Partnercontrolsince 01/2024 · owns 25% to 50%
- H•••• T••••• · Partner, Presidentcontrolsince 01/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,173 to 1,249Mar 7, 2025 to Mar 10, 2026
- Advisory activities · 3 to 2Mar 7, 2025 to Mar 10, 2026
- Charity clients · 1 to 3Mar 7, 2025 to Mar 10, 2026
- HNW clients · 100 to 130Mar 7, 2025 to Mar 10, 2026
- Individual clients · 218 to 203Mar 7, 2025 to Mar 10, 2026
- Pension plan clients · 3 to 2Mar 7, 2025 to Mar 10, 2026
- Assets in custody · $199M to $260MMar 7, 2025 to Mar 10, 2026
- Discretionary RAUM · $368M to $427MMar 7, 2025 to Mar 10, 2026
- HNW RAUM · $284M to $359MMar 7, 2025 to Mar 10, 2026
- Individual RAUM · $82.1M to $69.0MMar 7, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $0 to $3.2MMar 7, 2025 to Mar 10, 2026
- Pension RAUM · $1.2M to $1.5MMar 7, 2025 to Mar 10, 2026
- RAUM · $368M to $431MMar 7, 2025 to Mar 10, 2026
- Accounts · 1,030 to 1,173Nov 22, 2024 to Mar 7, 2025
- Charity clients · 3 to 1Nov 22, 2024 to Mar 7, 2025
- Corporate clients · 5 to 1Nov 22, 2024 to Mar 7, 2025
- Individual clients · 201 to 218Nov 22, 2024 to Mar 7, 2025
- Assets in custody · $63.1M to $199MNov 22, 2024 to Mar 7, 2025
- Employees · 4 to 5Nov 22, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Nov 22, 2024 to Mar 7, 2025
- Discretionary RAUM · $308M to $368MNov 22, 2024 to Mar 7, 2025
- HNW RAUM · $231M to $284MNov 22, 2024 to Mar 7, 2025
- Individual RAUM · $70.4M to $82.1MNov 22, 2024 to Mar 7, 2025
- Pension RAUM · $3.1M to $1.2MNov 22, 2024 to Mar 7, 2025
- RAUM · $308M to $368MNov 22, 2024 to Mar 7, 2025
- Assets in custody · unset to 63056884.0May 9, 2024 to Nov 22, 2024
- Custody of client assets · false to trueMay 9, 2024 to Nov 22, 2024
- HQ city · VESTAVIA HILLS to BIRMINGHAMMay 9, 2024 to Nov 22, 2024
- Accounts · 0 to 1,030Jan 31, 2024 to May 9, 2024
- Charity clients · unset to 3.0Jan 31, 2024 to May 9, 2024
- Corporate clients · unset to 5.0Jan 31, 2024 to May 9, 2024
- HNW clients · unset to 100.0Jan 31, 2024 to May 9, 2024
- Individual clients · unset to 201.0Jan 31, 2024 to May 9, 2024
- Pension plan clients · unset to 3.0Jan 31, 2024 to May 9, 2024
- Discretionary RAUM · $0 to $308MJan 31, 2024 to May 9, 2024
- HNW RAUM · unset to 231269498.0Jan 31, 2024 to May 9, 2024
- Individual RAUM · unset to 70437414.0Jan 31, 2024 to May 9, 2024
- Pension RAUM · unset to 3113267.0Jan 31, 2024 to May 9, 2024
- RAUM · $0 to $308MJan 31, 2024 to May 9, 2024
Signals
6 dated events
- 2 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Birmingham, AL) for S•••••••• A•••••••• L•• on the same dayJan 16, 2024 · Team lift-out · derived
- Garrett John Grafton (Chief Compliance Officer) no longer on Schedule A of S•••••••• A•••••••• L•• (listed 2023-11-27, absent 2024-01-03)Jan 3, 2024 · Control person left · inference
- T••••• H••• (Partner, President) appeared on Schedule A of S•••••••• A•••••••• L••Jan 3, 2024 · Control person joined · fact
- C Margaret Dunn (Chief Compliance Officer, Partner) appeared on Schedule A of S•••••••• A•••••••• L••Jan 3, 2024 · Control person joined · fact
- C Amy Drinkard (Partner) appeared on Schedule A of S•••••••• A•••••••• L••Jan 3, 2024 · Control person joined · fact
- S•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 27, 2023 · 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/steadmont-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- steadmontadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (205) 721-7005reportedpublic record, Form ADV, Aug 13, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026