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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B•••••••• W••••• A•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Feb 20, 2024 · 5 filings
SEC status approved since Mar 21, 2024
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$146M as of Mar 23, 2026
Mar 12, 2025$97.1M then
HNW client RAUM$144M as of Mar 23, 2026
Mar 12, 2025$94.8M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 12, 20253 then
Employees (5.A)3 as of Mar 23, 2026
Mar 12, 20253 then
Private funds: no history
RAUM +50% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $48.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.6MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +50%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M99%
- Individuals$1.8M1.2%
- Individual clients
- 8reported
- HNW clients
- 19reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 90reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• W•••••• K•••••• | Vestavia Hills, Al | Mar 28, 2024 | 18 y | 1 |
| S••••• H••••• | Vestavia Hills, Al | Mar 28, 2024 | 12 y | 0 |
| C••••••• N••••• B••••• T•••• | Vestavia Hills, Al | Mar 28, 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
- A••• W•••••• K•••••• from J•••••• S•••••••• I•••Mar 28, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• S••••• · Managing Membercontrolsince 02/2024 · owns 25% to 50%
- K••••••• A•••• W•••••• · Managing Membercontrolsince 02/2024 · owns 25% to 50%
- T••••• C•••••••• N••••• B••••• · Chief Compliance Officer And Managing Membercontrolsince 02/2024 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Vestavia Hills, Al · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $97,110,879 to $145,781,465 (+50.0%) between the annual amendments of 2025-03-12 and 2026-03-23; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- RAUM · $97.1M to $146MMar 12, 2025 to Mar 23, 2026
- Accounts · 70 to 90Mar 12, 2025 to Mar 23, 2026
- HNW clients · 14 to 19Mar 12, 2025 to Mar 23, 2026
- Individual clients · 6 to 8Mar 12, 2025 to Mar 23, 2026
- Discretionary RAUM · $97.1M to $146MMar 12, 2025 to Mar 23, 2026
- HNW RAUM · $94.8M to $144MMar 12, 2025 to Mar 23, 2026
- Individual RAUM · $2.3M to $1.8MMar 12, 2025 to Mar 23, 2026
- Accounts · 69 to 70Sep 27, 2024 to Mar 12, 2025
- Advisory activities · 4 to 3Sep 27, 2024 to Mar 12, 2025
- HNW clients · 12 to 14Sep 27, 2024 to Mar 12, 2025
- Individual clients · 5 to 6Sep 27, 2024 to Mar 12, 2025
- Financial planning clients · 0 to Sep 27, 2024 to Mar 12, 2025
- Discretionary RAUM · $102M to $97.1MSep 27, 2024 to Mar 12, 2025
- HNW RAUM · $100M to $94.8MSep 27, 2024 to Mar 12, 2025
- Individual RAUM · $2.2M to $2.3MSep 27, 2024 to Mar 12, 2025
- RAUM · $102M to $97.1MSep 27, 2024 to Mar 12, 2025
- Accounts · 0 to 69Apr 16, 2024 to Sep 27, 2024
- Charity clients · unset to 0.0Apr 16, 2024 to Sep 27, 2024
- Corporate clients · unset to 0.0Apr 16, 2024 to Sep 27, 2024
- HNW clients · unset to 12.0Apr 16, 2024 to Sep 27, 2024
- Individual clients · unset to 5.0Apr 16, 2024 to Sep 27, 2024
- Pension plan clients · unset to 0.0Apr 16, 2024 to Sep 27, 2024
- Pooled vehicle clients · unset to 0.0Apr 16, 2024 to Sep 27, 2024
- Discretionary RAUM · $0 to $102MApr 16, 2024 to Sep 27, 2024
- HNW RAUM · unset to 100114287.0Apr 16, 2024 to Sep 27, 2024
- Individual RAUM · unset to 2151395.0Apr 16, 2024 to Sep 27, 2024
- Pension RAUM · unset to 0.0Apr 16, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · unset to 0.0Apr 16, 2024 to Sep 27, 2024
- RAUM · $0 to $102MApr 16, 2024 to Sep 27, 2024
- Financial planning clients · unset to 0Feb 20, 2024 to Apr 16, 2024
- HQ city · VESTAVIA to VESTAVIA HILLSFeb 20, 2024 to Apr 16, 2024
Signals
1 dated events
- B•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 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
- Firm profile
- linkedin.com/company/bluewater-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- bluewaterwa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 205-305-6352reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- bluewaterwa.com/our-teamreportedpublished 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
- $48.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026