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
Walton Financial
Latest filing Jun 18, 2026
First filing on the tape May 15, 2024 · 8 filings
SEC status approved since Jun 14, 2024
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$178M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$61.0M
derived; firm RAUM over IAPD count
Employees
7
3 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$183M as of Jun 18, 2026
Feb 21, 2025$161M then
HNW client RAUM$116M as of Jun 18, 2026
Feb 21, 2025$89.9M then
State-registered IARs (5.B.3)3 as of Jun 18, 2026
Feb 21, 20252 then
Employees (5.A)7 as of Jun 18, 2026
Feb 21, 20254 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 3offices 0 to 1
Practice profile
derived from the filing of Jun 18, 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
- $61.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $347,726derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $52.0M, 55 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$116M63%
- Individuals$62.7M34%
- Corporations and businesses$3.8M2.1%
- Charitable organizations$738,6530.4%
- Individual clients
- 199reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 526reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.0M for 55 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 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 |
|---|---|---|---|---|
| Scott Andrew Walton | Birmingham, Al | Jun 27, 2024 | 33 y | 1 |
| Derrell Glenn CrimmCertified Financial Planner | Birmingham, Al | Jun 30, 2026 | 25 y | 2 |
| Lisa Jean Gamble | Birmingham, Al | Jun 30, 2026 | 23 y | 5 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Derrell Glenn Crimm from Commonwealth Financial NetworkJun 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lisa Jean Gamble from Commonwealth Financial NetworkJun 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- Scott Andrew Walton from Commonwealth Financial NetworkJun 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Commonwealth Financial NetworkJul 1, 2026 · Birmingham, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew Scott Walton · Sole LLC Member, President, Chief Compliance Officercontrolsince 05/2024 · owns 75% or more
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 | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 12, 2026 to Jun 18, 2026
- Employees · 4 to 7Mar 12, 2026 to Jun 18, 2026
- State-registered IARs · 2 to 3Mar 12, 2026 to Jun 18, 2026
- Other offices · 0 to 1Mar 12, 2026 to Jun 18, 2026
- Accounts · 524 to 526Sep 5, 2025 to Feb 6, 2026
- Corporate clients · 7 to 8Sep 5, 2025 to Feb 6, 2026
- HNW clients · 39 to 49Sep 5, 2025 to Feb 6, 2026
- Individual clients · 213 to 199Sep 5, 2025 to Feb 6, 2026
- Assets in custody · $40.2M to $52.0MSep 5, 2025 to Feb 6, 2026
- Discretionary RAUM · $161M to $183MSep 5, 2025 to Feb 6, 2026
- HNW RAUM · $89.9M to $116MSep 5, 2025 to Feb 6, 2026
- Individual RAUM · $66.1M to $62.7MSep 5, 2025 to Feb 6, 2026
- RAUM · $161M to $183MSep 5, 2025 to Feb 6, 2026
- Related adviser · true to falseSep 5, 2025 to Feb 6, 2026
- Accounts · 494 to 524Oct 7, 2024 to Feb 21, 2025
- Corporate clients · 6 to 7Oct 7, 2024 to Feb 21, 2025
- HNW clients · 35 to 39Oct 7, 2024 to Feb 21, 2025
- Individual clients · 211 to 213Oct 7, 2024 to Feb 21, 2025
- Assets in custody · $36.9M to $40.2MOct 7, 2024 to Feb 21, 2025
- Financial planning clients · 26-50 to 26-50Oct 7, 2024 to Feb 21, 2025
- Discretionary RAUM · $148M to $161MOct 7, 2024 to Feb 21, 2025
- HNW RAUM · $79.8M to $89.9MOct 7, 2024 to Feb 21, 2025
- Individual RAUM · $63.5M to $66.1MOct 7, 2024 to Feb 21, 2025
- RAUM · $148M to $161MOct 7, 2024 to Feb 21, 2025
- Accounts · unset to 494.0May 31, 2024 to Oct 7, 2024
- Corporate clients · unset to 6.0May 31, 2024 to Oct 7, 2024
- HNW clients · unset to 35.0May 31, 2024 to Oct 7, 2024
- Individual clients · unset to 211.0May 31, 2024 to Oct 7, 2024
- Assets in custody · unset to 36932419.0May 31, 2024 to Oct 7, 2024
- Custody of client assets · false to trueMay 31, 2024 to Oct 7, 2024
- Discretionary RAUM · unset to 147852120.0May 31, 2024 to Oct 7, 2024
- HNW RAUM · unset to 79763769.0May 31, 2024 to Oct 7, 2024
- Individual RAUM · unset to 63514411.0May 31, 2024 to Oct 7, 2024
- Non-discretionary RAUM · unset to 0.0May 31, 2024 to Oct 7, 2024
- RAUM · unset to 147852120.0May 31, 2024 to Oct 7, 2024
Signals
2 dated events
- 2 advisors left Commonwealth Financial Network (Birmingham, AL) for Walton Financial on the same dayJul 1, 2026 · Team lift-out · derived
- Walton Financial filed its initial SEC registration (Form ADV)May 15, 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 email
- brian@waltonfin.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kelley@waltonfin.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 205-871-0154reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-303-7103reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-303-7109reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- waltonfin.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (205) 871-0154reportedpublic record, Form ADV, Jun 18, 2026
- Team page
- waltonfin.com/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
- $61.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026