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 |
|---|---|---|---|---|---|---|---|---|
| Waverly Advisors, LLC CRD 115332 | Birmingham, AL | independent RIA | $30B | 71% | 224 | $133M | 48 | 19 |
| Highland Associates Inc CRD 104948 | Birmingham, AL | other | $21B | 0.0% | 2 | $10B | 1 | 4 |
| Regions Investment Management, Inc. CRD 111715 | Birmingham, AL | other | $20B | 0.0% | 4 | $5.0B | 1 | 0 |
| A•••• C•••••• A•••••••• L•• CRD 167626 | Fairhope, AL | independent RIA | $14B | 76% | 18 | $786M | 16 | 0 |
| R•• A•••••••• L•• CRD 158401 | Vestavia Hills, AL | independent RIA | $8.0B | 64% | 186 | $42.8M | 71 | 0 |
| H•••••• F••• A•••••••• L•• CRD 110577 | Birmingham, AL | asset manager | $7.8B | 0.0% | 0 | n/a | 9 | 44 |
| V••••• V•••• P••••••• L•• CRD 151190 | Birmingham, AL | other | $6.1B | 8.2% | 8 | $760M | 0 | 0 |
| R••••••• M••••••••• S••••••• L•• CRD 130791 | Birmingham, AL | other | $5.9B | 0.0% | 0 | n/a | 0 | 5 |
| E••••••••• W••••• A•••••••• L•• CRD 286340 | Birmingham, AL | independent RIA | $5.1B | 75% | 75 | $67.9M | 27 | 1 |
| S••••• A••••••• I••• CRD 174182 | Birmingham, AL | BD affiliated | $5.1B | 96% | 233 | $21.9M | 155 | 0 |
| K••• P••••• L•• CRD 127902 | Huntsville, AL | independent RIA | $4.1B | 80% | 48 | $84.9M | 9 | 3 |
| J•••••• S•••••••• I••• CRD 106379 | Birmingham, AL | other | $3.9B | 13% | 6 | $650M | 1 | 0 |
| T•• W•••• G••••• L•• CRD 111273 | Birmingham, AL | independent RIA | $3.7B | 99% | 28 | $132M | 1 | 0 |
| O•••••••• F•••••••• S••••••• L•• CRD 284549 | Birmingham, AL | independent RIA | $3.5B | 85% | 83 | $42.6M | 35 | 0 |
| L•••••• I••••••••• M••••••••• I••• CRD 107890 | Mobile, AL | independent RIA | $3.4B | 70% | 24 | $142M | 6 | 0 |
| M•••••••• M•••••• P••• • W•••••••• I••• CRD 138240 | Mobile, AL | independent RIA | $2.7B | 65% | 10 | $266M | 0 | 0 |
| A•••••••• P••••••• L•• CRD 109335 | Birmingham, AL | asset manager | $2.3B | 0.0% | 7 | $330M | 1 | 15 |
| J•••••• T••••••• W••••• M••••••••• L•• CRD 116091 | Montgomery, AL | independent RIA | $2.0B | 92% | 9 | $223M | 4 | 0 |
| L••••• F••••••••• I••• CRD 17870 | Birmingham, AL | BD affiliated | $1.8B | 88% | 69 | $25.9M | 28 | 0 |
| S••••••• F•••••••• G••••• L•• CRD 142644 | Birmingham, AL | independent RIA | $1.1B | 100% | 4 | $263M | 0 | 0 |
| M••••• W•••••• L•• CRD 335291 | Montgomery, AL | independent RIA | $1.0B | 62% | 5 | $209M | 0 | 0 |
| A••••••• G••••• P•••••••• L•• CRD 138600 | Birmingham, AL | other | $1.0B | 17% | 1 | $1.0B | 1 | 37 |
| C••••••• W••••• M••••••••• CRD 132517 | Dothan, AL | mixed wealth | $1.0B | 44% | 11 | $91.0M | 4 | 0 |
| O•••••••• I••••••••• S••••••••• L•• CRD 285512 | Birmingham, AL | asset manager | $987M | 1.6% | 1 | $987M | 1 | 0 |
| P••• P•••• C•••••• C••••••••• CRD 107952 | Homewood, AL | independent RIA | $879M | 50% | 7 | $126M | 4 | 0 |
| S•••• T••••••• A•••••••• L•• CRD 312537 | Huntsville, AL | mixed wealth | $852M | 44% | 7 | $122M | 0 | 0 |
| O••••••• A•••• M••••••••• L•• CRD 335388 | Birmingham, AL | independent RIA | $846M | 84% | 18 | $47.0M | 3 | 0 |
| S••••••• F•••••••• G••••• L•• CRD 283605 | Vestavia Hills, AL | independent RIA | $808M | 89% | 8 | $101M | 0 | 0 |
| M•••••• A••••••• G••••• L•• CRD 304668 | Birmingham, AL | independent RIA | $806M | 95% | 4 | $202M | 0 | 0 |
| P••• L••• A•••••••• L•• CRD 338445 | Birmingham, AL | other | $799M | 0.0% | 0 | n/a | 0 | 3 |
| B•• I••••••••• A••••••• CRD 140515 | Birmingham, AL | independent RIA | $794M | 61% | 5 | $159M | 0 | 0 |
| M••• F••••••••• I••• CRD 118896 | Birmingham, AL | independent RIA | $776M | 95% | 10 | $77.6M | 2 | 0 |
| P••••• W•••• I••••••••• A•••••••• I••• CRD 110876 | Birmingham, AL | independent RIA | $748M | 68% | 5 | $150M | 0 | 0 |
| B••• W••••• W••••• S•••••••• CRD 282792 | Birmingham, AL | independent RIA | $704M | 99% | 10 | $70.4M | 6 | 0 |
| F•••••• P•••••• W•••••• L•• CRD 329636 | Birmingham, AL | independent RIA | $605M | 99% | 6 | $101M | 0 | 0 |
| M••••••• A•••• M••••••••• L•• CRD 128373 | Birmingham, AL | independent RIA | $599M | 62% | 3 | $200M | 1 | 4 |
| T••••••••• A•••••••• L•• CRD 298838 | Hoover, AL | independent RIA | $547M | 99% | 14 | $39.1M | 9 | 0 |
| O•••••••• F••••• O•••••• CRD 323305 | Birmingham, AL | mixed wealth | $544M | 45% | 10 | $54.4M | 8 | 0 |
| B•• W••••• S••••••••• CRD 119670 | Vestavia, AL | independent RIA | $528M | 94% | 7 | $75.4M | 1 | 0 |
| B••••••••• C••••••• L•• CRD 120780 | Birmingham, AL | independent RIA | $494M | 74% | 2 | $247M | 0 | 4 |
| O•••••••• W••••• M••••••••• CRD 308057 | Birmingham, AL | independent RIA | $476M | 96% | 12 | $39.6M | 5 | 0 |
| K•••••• W••••• A•••••••• L•• CRD 122683 | Birmingham, AL | independent RIA | $471M | 77% | 6 | $78.6M | 0 | 0 |
| B•••• F•••••••• A••••••• CRD 155548 | Fairhope, AL | independent RIA | $468M | 96% | 6 | $78.0M | 1 | 0 |
| A••••• I••••••••• A••••••• L•• CRD 336722 | Huntsville, AL | independent RIA | $454M | 96% | 14 | $32.4M | 0 | 0 |
| I•••••• A••••••• CRD 282899 | Montgomery, AL | independent RIA | $444M | 61% | 8 | $55.4M | 2 | 0 |
| M•••• M••••••••• S••••••• I•• CRD 106832 | Birmingham, AL | independent RIA | $443M | 100% | 5 | $88.5M | 0 | 0 |
| S•••••••• A•••••••• L•• CRD 328882 | Birmingham, AL | independent RIA | $431M | 99% | 4 | $108M | 0 | 0 |
| N••••••• W••••• M••••••••• L•• CRD 173770 | Birmingham, AL | independent RIA | $430M | 95% | 7 | $61.4M | 2 | 0 |
| H•••• K••••• I••••••••• M••••••••• L••••• CRD 106454 | Fairhope, AL | independent RIA | $424M | 99% | 2 | $212M | 1 | 0 |
| J•• C••••••• W••••• M••••••••• CRD 118296 | Tuscaloosa, AL | independent RIA | $416M | 98% | 7 | $59.4M | 0 | 0 |
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91 advisers match.