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
O••••••• A•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 1, 2025 · 5 filings
SEC status approved since Jul 1, 2025
RAUM
$846M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$712M individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$47.0M
derived; firm RAUM over IAPD count
Employees
20
19 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$846M as of Mar 27, 2026
Jul 1, 2025$0 then
HNW client RAUM$540M as of Mar 27, 2026
Oct 29, 2025$434M then
State-registered IARs (5.B.3)19 as of Mar 27, 2026
Jul 1, 202515 then
Employees (5.A)20 as of Mar 27, 2026
Jul 1, 202515 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $47.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.5derived4 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, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $41.8M, 565 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$540M64%
- Individuals$171M20%
- Corporations and businesses$135M16%
- Individual clients
- 373reported
- HNW clients
- 166reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 746reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $41.8M for 565 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• C••••• | Birmingham, Al | Jul 1, 2025 | 12 y | 0 |
| R••••• C•••••• M••••Certified Financial Planner | Charlotte, Nc | Jul 1, 2025 | 27 y | 5 |
| J••• B••• N••••• | Birmingham, Al | Jul 1, 2025 | 30 y | 1 |
| A••••• S•••••• T•••Certified Financial Planner | Birmingham, Al | Jul 1, 2025 | 20 y | 5 |
| T•••• C•••••• B••••Certified Financial Planner | Birmingham, Al | Jul 1, 2025 | 12 y | 1 |
| W•••••• M••••••• F••••••Certified Financial Planner | Brentwood, Tn | Jul 1, 2025 | 21 y | 4 |
| W•••••• A•••••••• | Birmingham, Al | Jul 1, 2025 | 11 y | 1 |
| M•••••• C•••• S•••••••••Certified Financial Planner | Birmingham, Al | Jul 1, 2025 | 10 y | 0 |
| J••• T••••• H••••••Certified Financial Planner | Mobile, Al | Jul 3, 2025 | 11 y | 0 |
| S•••• R••••••• | Brentwood, Tn | Jul 3, 2025 | 10 y | 1 |
| D•••• P•••••• M••••••Chartered Financial Analyst | Mobile, Al | Jul 3, 2025 | 30 y | 1 |
| S••• J••• M•••••• V•••••Certified Financial Planner | Charlotte, Nc | Jul 3, 2025 | 17 y | 3 |
| L•• K••••••• B•••• | Birmingham, Al | Sep 12, 2025 | 11 y | 0 |
| J•••• B••• | Birmingham, Al | Sep 17, 2025 | 18 y | 0 |
| B••••• B••••• A•••• | Birmingham, Al | Feb 16, 2026 | 11 y | 2 |
| T•••• H••• H••••• | Birmingham, Al | May 14, 2026 | 29 y | 6 |
| C••••• L•• B•••• | Birmingham, Al | May 14, 2026 | 13 y | 1 |
| K••• M••••• W••••••Certified Financial Planner | Birmingham, Al | Jun 1, 2026 | 13 y | 0 |
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount2 left over 36 months
Left, latest
- S••••• C•••••• to R•• A•••••••• L••Sep 11, 2026 · RIA to RIA
- R•••••• T•••••• L••••••• to L•••••• I••••••••• M••••••••• I•••Feb 25, 2026 · RIA to RIA
Joined, latest
- T•••• H••• H••••• from S••••• A••••••• I•••May 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••• L•• B•••• from R••••••••• C•••••• M•••••••••May 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- B••••• B••••• A•••• from J••• M••••• S••••••••• L••Feb 16, 2026 · Wirehouse to independent RIA
- D•••• P•••••• M•••••• from R•••••• I••••••••• M••••••••• I•••Jul 3, 2025 · Other
- S••• J••• M•••••• V••••• from T••••• A••••••• S•••••••• I•••Jul 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• R••••••• from J••• M••••• S••••••••• L••Jul 3, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••••• M••••••• F•••••• from C•••••••• F•••••••• G•••• A•••••••Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- T•••• C•••••• B•••• from C•••••••• F•••••••• G•••• A•••••••Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• B••• N••••• from R•••••• I••••••••• M••••••••• I•••Jul 1, 2025 · Other
- W•••••• A•••••••• from S•••••• N••••••• • C••••••• I•••••••••Jul 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- R••••• C•••••• M•••• from B•••• W•••••• L••Jul 1, 2025 · RIA to a newly registered adviser
- A••••• S•••••• T••• from 1••• I••••••••• C••••••• L••Jul 1, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• J•••• B••• · Managing Director And Chief Investment Officercontrolsince 04/2025 · owns less than 5%
- S••••• M•••••••• E• · Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
Entity owners
- O••••••• C•••••• B••• I•• · 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 |
|---|---|---|---|---|---|
| Birmingham, Al · principal | 18 | 4 | 2 | ||
| Charlotte, Nc | 6 | 2 | 0 | ||
| Brentwood, Tn | 3 | 0 | 0 | ||
| Mobile, Al | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 678 to 746Feb 12, 2026 to Mar 27, 2026
- Advisory employees · 15 to 19Feb 12, 2026 to Mar 27, 2026
- Charity clients · 8.0 to unsetFeb 12, 2026 to Mar 27, 2026
- Corporate clients · 18 to 26Feb 12, 2026 to Mar 27, 2026
- HNW clients · 165 to 166Feb 12, 2026 to Mar 27, 2026
- Individual clients · 475 to 373Feb 12, 2026 to Mar 27, 2026
- Pension plan clients · 12.0 to unsetFeb 12, 2026 to Mar 27, 2026
- Assets in custody · $757M to $41.8MFeb 12, 2026 to Mar 27, 2026
- Employees · 15 to 20Feb 12, 2026 to Mar 27, 2026
- Financial planning clients · 0 to 51-100Feb 12, 2026 to Mar 27, 2026
- State-registered IARs · 15 to 19Feb 12, 2026 to Mar 27, 2026
- Discretionary RAUM · $757M to $846MFeb 12, 2026 to Mar 27, 2026
- HNW RAUM · $434M to $540MFeb 12, 2026 to Mar 27, 2026
- Individual RAUM · $178M to $171MFeb 12, 2026 to Mar 27, 2026
- Pension RAUM · 18925775.0 to unsetFeb 12, 2026 to Mar 27, 2026
- RAUM · $757M to $846MFeb 12, 2026 to Mar 27, 2026
- Accounts · 0 to 678Jul 1, 2025 to Oct 29, 2025
- Charity clients · unset to 8.0Jul 1, 2025 to Oct 29, 2025
- Corporate clients · unset to 18.0Jul 1, 2025 to Oct 29, 2025
- HNW clients · unset to 165.0Jul 1, 2025 to Oct 29, 2025
- Individual clients · unset to 475.0Jul 1, 2025 to Oct 29, 2025
- Pension plan clients · unset to 12.0Jul 1, 2025 to Oct 29, 2025
- Assets in custody · $0 to $757MJul 1, 2025 to Oct 29, 2025
- Financial planning clients · 0 to 0Jul 1, 2025 to Oct 29, 2025
- Discretionary RAUM · $0 to $757MJul 1, 2025 to Oct 29, 2025
- HNW RAUM · unset to 433910279.0Jul 1, 2025 to Oct 29, 2025
- Individual RAUM · unset to 177898961.0Jul 1, 2025 to Oct 29, 2025
- Pension RAUM · unset to 18925775.0Jul 1, 2025 to Oct 29, 2025
- RAUM · $0 to $757MJul 1, 2025 to Oct 29, 2025
Signals
2 dated events
- S••••• C•••••• left O••••••• A•••• M••••••••• L•• for R•• A•••••••• L•• (registered 2026-09-01)Sep 11, 2026 · Advisor changed firm · fact
- R•••••• T•••••• L••••••• left O••••••• A•••• M••••••••• L•• for L•••••• I••••••••• M••••••••• I••• (registered 2026-03-04)Feb 25, 2026 · Advisor changed firm · 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 phone
- 251-375-7799reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-263-4699reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 205-263-4700reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- o•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 205-263-4700reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- o•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- o•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $47.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026