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
I••••••• T•• • F•••••••• P•••••••
Legal name I••••••• I••••••••• A••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Jun 30, 2026 · 2 filings
SEC status approved since Jun 18, 2026
RAUM
$100M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
100%
$99.9M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$25.0M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$100M as of Jul 29, 2026
Jun 30, 2026$100M then
HNW client RAUM$50.9M as of Jul 29, 2026
Jun 30, 2026$50.9M then
State-registered IARs (5.B.3)4 as of Jul 29, 2026
Jun 30, 20265 then
Employees (5.A)6 as of Jul 29, 2026
Jun 30, 20269 then
Private funds: no history
Practice profile
derived from the filing of Jul 29, 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
- RAUM per advisor
- $25.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $152,008derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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 individuals, selection of other advisers, educational seminarsreportedItem 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)
- 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$50.9M51%
- Individuals$49.1M49%
- Pension and profit-sharing plans$74,8050.1%
- Individual clients
- 299reported
- HNW clients
- 32reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 658reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• L••••••• Z••••••• | Huntsville, Al | Nov 4, 2024 | 30 y | 5 |
| P••••• L•• C•••••• | Huntsville, Al | Nov 12, 2024 | 17 y | 2 |
| J••••• B••••••• | Huntsville, Al | Dec 5, 2024 | 11 y | 0 |
| J•••••• J•••• M••••••• | Seminole, Fl | Dec 19, 2024 | 22 y | 4 |
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
- J•••••• J•••• M••••••• from O•••• W•••••• I•••Dec 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- P••••• L•• C•••••• from O•••• W•••••• I•••Nov 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- A••••• L••••••• Z••••••• from O•••• W•••••• I•••Nov 4, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z•••••••• A•••••• L••••••• · Managing Member And Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
Entity owners
- I••••••• A••••••••• A•• T•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Huntsville, Al · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Jun 30, 2026 to Jul 29, 2026
- Employees · 9 to 6Jun 30, 2026 to Jul 29, 2026
- State-registered IARs · 5 to 4Jun 30, 2026 to Jul 29, 2026
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
- Business email
- info@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sarah@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- carrie@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- deji@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- justin@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- maggie@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sami@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- rachael@infinitytaxandfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 256-400-5454reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 256-527-4214reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 727-588-9707reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- infinitytaxandfinancial.comreportedpublic record, Form ADV, Sep 18, 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
- $25.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026