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

A••••• I••••••••• A••••••• L••

Independent wealth managerHuntsville, AlabamaCRD 336722SEC 801-134453websiteIAPD
Latest filing Mar 12, 2026
First filing on the tape Sep 30, 2025 · 3 filings
SEC status approved since Nov 14, 2025
RAUM
$454M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$436M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$32.4M
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$454M as of Mar 12, 2026
Sep 30, 2025$0 then
HNW client RAUM: $327M
State-registered IARs (5.B.3)12 as of Mar 12, 2026
Sep 30, 20257 then
Employees (5.A)18 as of Mar 12, 2026
Sep 30, 20258 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 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
$32.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$399,992derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
14.0derived1 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, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Custody
$5.0M, 9 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$327M72%
  • Individuals$109M24%
  • Pension and profit-sharing plans$8.7M1.9%
  • Charitable organizations$4.7M1.0%
  • Corporations and businesses$4.2M0.9%
Individual clients
478reported
HNW clients
271reported
Pension plan clients
2reported
Charitable clients
6reported
Accounts
1,135reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$5.0M for 9 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=13.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••••• B•••• W••••Huntsville, Al Nov 21, 202524 y9
J•••• H•••••• A••••Huntsville, Al Jan 15, 202614 y2
S••••• D••••• B••••••Huntsville, AlFeb 5, 202634 y5
C•••••• M•••••• J••••Gadsden, Al Feb 6, 202626 y5
J••• W• P•••••Certified Financial PlannerDecatur, Al Feb 6, 202618 y2
M••••• D•••• M••••••Huntsville, Al Feb 9, 202613 y3
M••• E••• S•••••••Huntsville, AlFeb 9, 202632 y7
A•••••• B•••• N••••••Florence, Al Feb 9, 202610 y2
J•••• R•••• C•••••••••Florence, Al Feb 12, 202632 y4
J••••• A• G••••••••Florence, Al Feb 12, 202623 y4
J•••• G••••• M••••••Huntsville, AlFeb 12, 202617 y1
A•••• G• W•••Huntsville, Al Feb 17, 202621 y4
J••• F•••••• C••••••Hoover, Al Apr 23, 202636 y2
S•••• M•••••• E••••Decatur, Al Aug 21, 202614 y0
Advisor movement
0 left, 13 joined in 12 months
net +13 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• S•••••• D••••• · Founding Member / Ceocontrol
        since 05/2025 · owns 10% to 25%
      • C••••••••• J••••• R•••• · Founding Membercontrol
        since 05/2025 · owns 10% to 25%
      • G••••••••• J•••••• A• · Founding Membercontrol
        since 05/2025 · owns 10% to 25%
      • J••••• C••••••• M•••••• · Founding Membercontrol
        since 05/2025 · owns 10% to 25%
      • P•••••• J•••• W• · Founding Member / Coocontrol
        since 05/2025 · owns 10% to 25%
      • S•••••••• M•••• E••• · Founding Member / Ciocontrol
        since 05/2025 · owns 10% to 25%
      • W•••• A••••• G• · Founding Member / Cfocontrol
        since 05/2025 · owns 10% to 25%
      • W••••• T••••••• B•••• · Chief Compliance Officercontrol
        since 08/2025 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Huntsville, Al · principal14140
      Florence, Al550
      Decatur, Al220
      Gadsden, Al220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • custody status changedChange between filings · filing Mar 12, 2026
        custody of client assets (Item 9.A): no on the filing of 2026-02-04, yes on the filing of 2026-03-12
        peers: independent wealth managers, $100M to $500M (5,676)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1,135
        Feb 4, 2026 to Mar 12, 2026
      • Advisory employees · 8 to 12
        Feb 4, 2026 to Mar 12, 2026
      • BD registered reps · 8 to 13
        Feb 4, 2026 to Mar 12, 2026
      • Charity clients · unset to 6.0
        Feb 4, 2026 to Mar 12, 2026
      • Corporate clients · unset to 11.0
        Feb 4, 2026 to Mar 12, 2026
      • HNW clients · unset to 271.0
        Feb 4, 2026 to Mar 12, 2026
      • Individual clients · unset to 478.0
        Feb 4, 2026 to Mar 12, 2026
      • Pension plan clients · unset to 2.0
        Feb 4, 2026 to Mar 12, 2026
      • Assets in custody · unset to 5040433.0
        Feb 4, 2026 to Mar 12, 2026
      • Custody of client assets · false to true
        Feb 4, 2026 to Mar 12, 2026
      • Employees · 8 to 18
        Feb 4, 2026 to Mar 12, 2026
      • Insurance-licensed employees · 7 to 0
        Feb 4, 2026 to Mar 12, 2026
      • State-registered IARs · 7 to 12
        Feb 4, 2026 to Mar 12, 2026
      • Discretionary RAUM · $0 to $454M
        Feb 4, 2026 to Mar 12, 2026
      • HNW RAUM · unset to 327253525.0
        Feb 4, 2026 to Mar 12, 2026
      • Individual RAUM · unset to 109107844.0
        Feb 4, 2026 to Mar 12, 2026
      • Pension RAUM · unset to 8725954.0
        Feb 4, 2026 to Mar 12, 2026
      • RAUM · $0 to $454M
        Feb 4, 2026 to Mar 12, 2026
      Signals
      1 dated events
      • 10 advisors left S••••• A••••••• I••• (Florence, AL) for A••••• I••••••••• A••••••• L•• within 3 days
        Feb 10, 2026 · Team lift-out · derived
      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
      Website
      axientadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      256-980-1723reportedpublic record, Form ADV, Mar 12, 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
      $32.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026