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.
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Cloud Investments, LLC CRD 281915 | Huntsville, AL | independent RIA | $404M | 99% | 6 | $67.3M | 2 | 0 |
| Cook & Bynum Capital Management, LLC CRD 149454 | Birmingham, AL | asset manager | $360M | 0.7% | 0 | n/a | 0 | 3 |
| Williams Financial Group CRD 310008 | Mobile, AL | independent RIA | $355M | 97% | 2 | $177M | 1 | 0 |
| F•••••• C•••••• M••••••••• L•• CRD 158835 | Birmingham, AL | asset manager | $353M | 0.0% | 3 | $118M | 0 | 2 |
| T••••• F•••••••• G•••• CRD 298292 | Montgomery, AL | independent RIA | $339M | 94% | 3 | $113M | 0 | 0 |
| A••• • M••••• CRD 104830 | Mobile, AL | independent RIA | $323M | 89% | 6 | $53.9M | 0 | 0 |
| N••••••• 4•••• L•• CRD 309466 | Birmingham, AL | institutional | $318M | 0.0% | 4 | $79.5M | 1 | 0 |
| T•••• A••••••• G•••• L•• CRD 106926 | Birmingham, AL | independent RIA | $314M | 100% | 17 | $18.4M | 14 | 0 |
| B•••••••• I••••••••• I••• CRD 109239 | Birmingham, AL | other | $281M | 17% | 2 | $141M | 0 | 7 |
| T••••••••• F••••••••• L•• CRD 131205 | Homewood, AL | independent RIA | $280M | 94% | 5 | $56.0M | 1 | 0 |
| S•••••• F•••••••• G•••• CRD 310512 | Hoover, AL | independent RIA | $276M | 99% | 3 | $92.0M | 0 | 0 |
| B••••••••• C•••••• M••••••••• C• I•• CRD 108508 | Birmingham, AL | independent RIA | $274M | 52% | 2 | $137M | 0 | 0 |
| W•••••• M••••• W••••• M••••••••• L•• CRD 162222 | Mobile, AL | independent RIA | $257M | 82% | 2 | $129M | 1 | 0 |
| 6•• S••••• A•••••••• L•• CRD 156623 | Daphne, AL | independent RIA | $257M | 100% | 3 | $85.5M | 0 | 0 |
| B•••••• W•••••••• L•• CRD 325465 | Alexander City, AL | independent RIA | $243M | 77% | 2 | $121M | 1 | 0 |
| N•• C•••••• P••••••• CRD 160075 | Birmingham, AL | asset manager | $233M | 0.0% | 0 | n/a | 0 | 5 |
| A••••••• R••••••••• A•••••••• L•• CRD 166221 | Birmingham, AL | independent RIA | $227M | 99% | 2 | $114M | 1 | 0 |
| L••••••• F•••••••• A•••••••• I••• CRD 122451 | Huntsville, AL | independent RIA | $208M | 99% | 3 | $69.4M | 4 | 0 |
| F••••• F•••••••• R••••••••• P••• S•••••••• L•• CRD 168390 | Mobile, AL | institutional | $195M | 0.0% | 3 | $65.0M | 0 | 0 |
| S••••••• C•••••• S••••••• I•• CRD 105582 | Daphne, AL | independent RIA | $192M | 93% | 6 | $32.1M | 3 | 0 |
| C••••••• CRD 284588 | Mountain Brook, AL | independent RIA | $188M | 85% | 3 | $62.8M | 1 | 1 |
| M••••••• W••••• M••••••••• L•• CRD 297598 | Dothan, AL | independent RIA | $183M | 100% | 2 | $91.6M | 0 | 0 |
| W••••• F•••••••• CRD 331634 | Birmingham, AL | independent RIA | $183M | 98% | 3 | $61.0M | 1 | 0 |
| N•••••• P•••••••• L•• CRD 339108 | Fairhope, AL | independent RIA | $177M | 99% | 2 | $88.6M | 2 | 0 |
| G•••••• I••••••••• CRD 174077 | Birmingham, AL | independent RIA | $177M | 79% | 3 | $58.9M | 0 | 0 |
| R••••••••• A•••••••• I••• CRD 122122 | Mobile, AL | independent RIA | $160M | 100% | 1 | $160M | 0 | 0 |
| B••••• I••••••••• L•• CRD 269955 | Auburn, AL | mixed wealth | $152M | 21% | 4 | $37.9M | 4 | 0 |
| B•••••••• W••••• A•••••••• L•• CRD 330078 | Vestavia Hills, AL | independent RIA | $146M | 100% | 3 | $48.6M | 3 | 0 |
| F••••••••• C••••••• L•• CRD 299523 | Birmingham, AL | asset manager | $143M | 0.0% | 0 | n/a | 0 | 6 |
| C••••••••• C•••••• W••••• M••••••••• L•• CRD 337758 | Tuscaloosa, AL | independent RIA | $132M | 97% | 3 | $44.0M | 1 | 0 |
| B•• S••••••••• L•• CRD 139665 | Birmingham, AL | independent RIA | $128M | 98% | 3 | $42.8M | 0 | 0 |
| A••••• C••••••• L•• CRD 337597 | Homewood, AL | independent RIA | $112M | 100% | 2 | $56.0M | 0 | 0 |
| P•• A••••••• CRD 159443 | Hoover, AL | mixed wealth | $112M | 50% | 2 | $55.8M | 0 | 0 |
| A••••• I••••••••• L•• CRD 327805 | Birmingham, AL | asset manager | $106M | 0.0% | 0 | n/a | 0 | 1 |
| I••••••• T•• • F•••••••• P••••••• CRD 332590 | Huntsville, AL | independent RIA | $100M | 100% | 4 | $25.0M | 1 | 0 |
| M••••••• C••••••• L•• CRD 315545 | Birmingham, AL | asset manager | $91.0M | 0.0% | 0 | n/a | 0 | 1 |
| O•••••••• C•••••• CRD 323220 | Birmingham, AL | asset manager | $55.6M | 0.0% | 2 | $27.8M | 0 | 2 |
| F•••••• C••••••• L•• CRD 141341 | Birmingham, AL | mixed wealth | $18.3M | 34% | 0 | n/a | 0 | 1 |
| N••••••• P•••••• F••• A••••••• L•• CRD 313687 | Birmingham, AL | no RAUM | $0 | n/a | 3 | n/a | 0 | 0 |
| L•••• V••• C••••••• L•• CRD 324582 | Auburn, AL | no RAUM | $0 | n/a | 2 | n/a | 1 | 0 |
| E•••• W••••• A•••••••• L•• CRD 342527 | Madison, AL | no RAUM | $0 | n/a | 2 | n/a | 0 | 0 |
The rest of the firm names 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.
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91 advisers match.