Data / Investment advisers / Alabama
Investment advisers in Alabama: 99 firms, $179 billion in AUM
99 investment advisers have their main office in Alabama: 92 SEC registered and 7 exempt reporting. The registered advisers report $179 billion in regulatory assets under management in the SEC's Form ADV file of November 2, 2026, and the largest is Waverly Advisors, LLC with $29.9 billion.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
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- 99Advisers
- 92SEC registered
- 7Exempt reporting
- $179 billionTotal AUM
- 86Advisers over $100 million
- 29Manage private funds
- November 2, 2026File date
Largest advisers by AUM
Ranked by regulatory AUM, then by private funds. Each row links to the firm page where it has one, and to its SEC record.
| Adviser | City | AUM | Accounts | Employees | Private funds | Phone | Website | Source |
|---|---|---|---|---|---|---|---|---|
| Waverly Advisors, LLC | Birmingham | $29.87 billion | 35,709 | 414 | 19 | (205) 871-3334 | waverly-advisors.com | adviserinfo.sec.gov |
| Highland Associates Inc | Birmingham | $20.99 billion | 61 | 19 | 4 | (205) 933-8664 | adviserinfo.sec.gov | |
| Regions Investment Management, Inc. | Birmingham | $20.14 billion | 2 | 28 | Not listed | (205) 326-7074 | regions.com | adviserinfo.sec.gov |
| Aptus Capital Advisors, LLC | Fairhope | $14.14 billion | 12,707 | 40 | Not listed | (251) 517-7198 | aptuscapitaladvisors.com | adviserinfo.sec.gov |
| RFG Advisory, LLC | Vestavia Hills | $7.97 billion | 29,833 | 360 | Not listed | (205) 397-2450 | willowprivatewealth.com | adviserinfo.sec.gov |
| Harbert Fund Advisors, LLC | Birmingham | $7.82 billion | 44 | 147 | 44 | (205) 987-5500 | adviserinfo.sec.gov | |
| Vulcan Value Partners LLC | Birmingham | $6.08 billion | 160 | 38 | 4 | (205) 803-1582 | adviserinfo.sec.gov | |
| Resource Management Service, LLC | Birmingham | $5.92 billion | 14 | 149 | 5 | (205) 991-9516 | resourcemgt.com | adviserinfo.sec.gov |
| Eversource Wealth Advisors, LLC | Birmingham | $5.10 billion | 13,689 | 76 | 1 | (205) 982-5515 | reinholdfinancial.com | adviserinfo.sec.gov |
| Stonex Advisors Inc. | Birmingham | $5.09 billion | 15,487 | 220 | Not listed | (800) 292-2411 | adviserinfo.sec.gov | |
| Keel Point, LLC | Huntsville | $4.07 billion | 6,236 | 92 | 3 | (256) 704-5111 | adviserinfo.sec.gov | |
| Johnson Sterling, Inc. | Birmingham | $3.90 billion | 365 | 10 | Not listed | (205) 871-9940 | johnsonsterling.com | adviserinfo.sec.gov |
| The Welch Group, LLC | Birmingham | $3.68 billion | 4,528 | 28 | Not listed | (205) 879-5001 | welchgroup.com | adviserinfo.sec.gov |
| Oneascent Financial Services LLC | Birmingham | $3.54 billion | 16,009 | 161 | Not listed | (205) 313-9142 | adviserinfo.sec.gov | |
| Leavell Investment Management, Inc. | Mobile | $3.40 billion | 3,023 | 36 | Not listed | (251) 433-3709 | leavellinvestments.com | adviserinfo.sec.gov |
| Mitchell, McLeod, Pugh & Williams, Inc. | Mobile | $2.66 billion | 2,420 | 17 | Not listed | (251) 471-2027 | mmpw.com | adviserinfo.sec.gov |
| Arlington Partners LLC | Birmingham | $2.31 billion | 24 | 14 | 15 | (205) 488-4300 | arlington.com | adviserinfo.sec.gov |
| Jackson Thornton Wealth Management, LLC | Montgomery | $2.01 billion | 2,367 | 16 | Not listed | (334) 834-7660 | adviserinfo.sec.gov | |
| Lanark Financial, Inc. | Birmingham | $1.78 billion | 4,966 | 68 | Not listed | (800) 521-9390 | nbcsecurities.com | adviserinfo.sec.gov |
| Southern Financial Group, LLC | Birmingham | $1.05 billion | 2,597 | 8 | Not listed | (205) 383-1415 | thesouthernfinancialgroup.com | adviserinfo.sec.gov |
| Marble Wealth, LLC | Montgomery | $1.05 billion | 1,077 | 6 | Not listed | (334) 679-4800 | adviserinfo.sec.gov | |
| Anderson Growth Partners, LLC | Birmingham | $1.01 billion | 209 | 14 | 37 | (205) 909-0950 | agpadvisors.com | adviserinfo.sec.gov |
| Capsouth Wealth Management | Dothan | $1.00 billion | 1,420 | 22 | Not listed | (334) 673-8600 | adviserinfo.sec.gov | |
| Oneascent Investment Solutions, LLC | Birmingham | $987.2 million | 47 | 27 | Not listed | (205) 313-9142 | adviserinfo.sec.gov | |
| Park Place Capital Corporation | Homewood | $879.2 million | 609 | 20 | Not listed | (800) 459-9084 | nashcap.com | adviserinfo.sec.gov |
| Smith Thornton Advisors, LLC | Huntsville | $852.3 million | 858 | 8 | Not listed | (256) 715-7715 | adviserinfo.sec.gov | |
| Oakworth Asset Management, LLC | Birmingham | $846.3 million | 746 | 20 | Not listed | (205) 263-4700 | oakworth.com | adviserinfo.sec.gov |
| Sunburst Financial Group, LLC | Vestavia Hills | $808.1 million | 2,346 | 9 | Not listed | (205) 823-4949 | sunburstfinancial.com | adviserinfo.sec.gov |
| Mayfair Advisory Group, LLC | Birmingham | $806.4 million | 1,240 | 4 | Not listed | (205) 395-6970 | adviserinfo.sec.gov | |
| Park Lane Advisors, LLC | Birmingham | $799 million | 8 | 4 | 3 | (205) 383-8782 | tenet-partners.com | adviserinfo.sec.gov |
| BHK Investment Advisors | Birmingham | $794.1 million | 771 | 9 | Not listed | (205) 322-2025 | bhkllc.com | adviserinfo.sec.gov |
| Meld Financial, Inc. | Birmingham | $776.4 million | 1,942 | 15 | Not listed | (205) 967-4200 | meldfinancial.com | adviserinfo.sec.gov |
| Porter White Investment Advisors, Inc. | Birmingham | $748.2 million | 329 | 7 | Not listed | (205) 252-3681 | pwco.com | adviserinfo.sec.gov |
| BMSS Wesson Wealth Solutions | Birmingham | $704 million | 1,183 | 11 | Not listed | (205) 982-5555 | adviserinfo.sec.gov | |
| Fairvoy Private Wealth, LLC | Birmingham | $605.1 million | 1,269 | 8 | Not listed | (205) 578-6250 | adviserinfo.sec.gov | |
| Mainsail Asset Management, LLC | Birmingham | $598.8 million | 889 | 7 | 4 | (205) 536-7776 | investprudently.com | adviserinfo.sec.gov |
| Truewealth Advisors, LLC | Hoover | $547.5 million | 1,614 | 21 | Not listed | (205) 588-4800 | adviserinfo.sec.gov | |
| Oneascent Family Offices | Birmingham | $544.5 million | 292 | 14 | Not listed | (205) 313-9142 | adviserinfo.sec.gov | |
| BCR Wealth Strategies | Vestavia | $528.1 million | 1,219 | 11 | Not listed | (205) 298-1234 | adviserinfo.sec.gov | |
| Bonaventure Capital, LLC | Birmingham | $493.8 million | 30 | 3 | 4 | (205) 775-7971 | bonaventurecapital.net | adviserinfo.sec.gov |
| Oneascent Wealth Management | Birmingham | $475.6 million | 2,616 | 23 | Not listed | (205) 313-9142 | oneascent.com | adviserinfo.sec.gov |
| Kassouf Wealth Advisors, LLC | Birmingham | $471.3 million | 440 | 10 | Not listed | (205) 776-0100 | kassoufwealth.com | adviserinfo.sec.gov |
| Brown Financial Advisory | Fairhope | $468.2 million | 859 | 8 | Not listed | (251) 928-9498 | adviserinfo.sec.gov | |
| Axient Investment Advisors LLC | Huntsville | $454 million | 1,135 | 18 | Not listed | (256) 980-1723 | axientadvisors.com | adviserinfo.sec.gov |
| Money Management Services Inc | Birmingham | $442.7 million | 1,377 | 12 | Not listed | (205) 871-7526 | mmsfamily.com | adviserinfo.sec.gov |
| Steadmont Advisors, LLC | Birmingham | $430.7 million | 1,249 | 5 | Not listed | (205) 721-7005 | steadmontadvisors.com | adviserinfo.sec.gov |
| Navigate Wealth Management, LLC | Birmingham | $429.6 million | 873 | 8 | Not listed | (205) 224-9500 | adviserinfo.sec.gov | |
| Hayek Kallen Investment Management L.L.C. | Fairhope | $424.4 million | 201 | 3 | Not listed | (251) 928-8999 | adviserinfo.sec.gov | |
| JMF Capstone Wealth Management | Tuscaloosa | $416.1 million | 540 | 8 | Not listed | (205) 345-8440 | jmfcapstone.com | adviserinfo.sec.gov |
| Cloud Investments, LLC | Huntsville | $404 million | 1,749 | 6 | Not listed | (256) 715-0094 | adviserinfo.sec.gov | |
| Cook & Bynum Capital Management, LLC | Birmingham | $359.8 million | 5 | 8 | 3 | (205) 994-2815 | cookandbynum.com | adviserinfo.sec.gov |
| Williams Financial Group | Mobile | $354.8 million | 358 | 5 | Not listed | (251) 473-2120 | wfgplanning.com | adviserinfo.sec.gov |
| Forager Capital Management, LLC | Birmingham | $352.9 million | 2 | 3 | 2 | (205) 383-4763 | foragercap.com | adviserinfo.sec.gov |
| Tucker Financial Group | Montgomery | $339 million | 3,950 | 3 | Not listed | tuckerfinancial.net | adviserinfo.sec.gov | |
| Aull & Monroe | Mobile | $323.2 million | 417 | 5 | Not listed | (251) 342-3339 | adviserinfo.sec.gov | |
| Navigate 401k, LLC | Birmingham | $317.9 million | 80 | 4 | Not listed | (205) 224-9502 | navigate401k.com | adviserinfo.sec.gov |
| Trust Advisory Group LTD | Birmingham | $313.5 million | 792 | 22 | Not listed | (800) 292-2411 | adviserinfo.sec.gov | |
| Brookline Investments, Inc. | Birmingham | $281.5 million | 33 | 3 | 7 | (205) 263-2332 | adviserinfo.sec.gov | |
| Timberchase Financial, LLC | Homewood | $280.2 million | 830 | 7 | Not listed | (205) 980-7118 | adviserinfo.sec.gov | |
| Strauss Financial Group | Hoover | $276 million | 800 | 6 | Not listed | (205) 967-9595 | adviserinfo.sec.gov | |
| Birmingham Capital Management Co Inc | Birmingham | $273.6 million | 80 | 1 | Not listed | (205) 967-7062 | adviserinfo.sec.gov | |
| Wilkins Miller Wealth Management, LLC | Mobile | $257.5 million | 478 | 3 | Not listed | (251) 410-6700 | adviserinfo.sec.gov | |
| 6th Street Advisors, LLC | Daphne | $256.5 million | 350 | 2 | Not listed | (251) 422-3108 | 6thstreetadvisors.com | adviserinfo.sec.gov |
| Blalock Williams, LLC | Alexander City | $242.6 million | 724 | 4 | Not listed | (256) 444-6256 | adviserinfo.sec.gov | |
| New Capital Partners | Birmingham | $232.6 million | 5 | 8 | 5 | (205) 939-8400 | newcapitalpartners.com | adviserinfo.sec.gov |
| Approach Retirement Advisors, LLC | Birmingham | $227.5 million | 547 | 2 | Not listed | (205) 588-8637 | approachretirement.com | adviserinfo.sec.gov |
| Longview Financial Advisors, Inc. | Huntsville | $208.2 million | 619 | 7 | Not listed | (256) 534-1196 | adviserinfo.sec.gov | |
| Frugal Financial Retirement Plan Services, LLC | Mobile | $194.9 million | 128 | 4 | Not listed | (727) 324-4004 | adviserinfo.sec.gov | |
| Southern Capital Services Inc | Daphne | $192.5 million | 700 | 7 | Not listed | (251) 626-1140 | adviserinfo.sec.gov | |
| Colarion | Mountain Brook | $188.3 million | 148 | 3 | 1 | (205) 410-9443 | adviserinfo.sec.gov | |
| Magnolia Wealth Management LLC | Dothan | $183.3 million | 920 | 2 | Not listed | (334) 699-4036 | magnoliawm.com | adviserinfo.sec.gov |
| Walton Financial | Birmingham | $182.9 million | 526 | 7 | Not listed | (205) 871-0154 | adviserinfo.sec.gov | |
| Naviant Partners, LLC | Fairhope | $177.3 million | 443 | 11 | Not listed | (251) 725-9977 | naviantpartners.com | adviserinfo.sec.gov |
| Greybox Investments | Birmingham | $176.7 million | 212 | 3 | Not listed | (205) 703-0900 | greyboxinvestments.com | adviserinfo.sec.gov |
| Retirement Advisors, Inc. | Mobile | $159.6 million | 404 | 3 | Not listed | (251) 344-0707 | plantoretire.com | adviserinfo.sec.gov |
| Ellis Wealth Advisors, LLC | Madison | $155 million | 479 | 4 | Not listed | (256) 325-0410 | ewamadison.com | adviserinfo.sec.gov |
| Bright Investments, LLC | Auburn | $151.5 million | 111 | 6 | Not listed | (334) 321-2321 | brightinvestmentsllc.com | adviserinfo.sec.gov |
| Bluewater Wealth Advisors, LLC | Vestavia Hills | $145.8 million | 90 | 3 | Not listed | (205) 305-6352 | bluewaterwa.com | adviserinfo.sec.gov |
| Featheringill Capital, LLC | Birmingham | $142.9 million | 6 | 6 | 6 | (205) 879-2722 | featheringillcapital.com | adviserinfo.sec.gov |
| Canterbury Capital Wealth Management, LLC | Tuscaloosa | $132.1 million | 832 | 7 | Not listed | (205) 534-1310 | canterburycapitalwealth.com | adviserinfo.sec.gov |
| BHK Securities, LLC | Birmingham | $128.4 million | 184 | 8 | Not listed | (205) 322-2025 | bhkllc.com | adviserinfo.sec.gov |
| Aragon Capital, LLC | Homewood | $112.1 million | 186 | 3 | Not listed | (719) 244-4814 | adviserinfo.sec.gov | |
| PMD Advisory | Hoover | $111.6 million | 254 | 7 | Not listed | (205) 986-0060 | pmdadvisory.com | adviserinfo.sec.gov |
| Brighthaven Financial Advisors | Huntsville | $106.6 million | 569 | 4 | Not listed | (256) 763-7386 | adviserinfo.sec.gov | |
| Abacus Investments LLC | Birmingham | $105.9 million | 2 | 11 | 1 | (205) 661-8189 | abacusinvestments.com | adviserinfo.sec.gov |
| Infinity Tax & Financial Planning | Huntsville | $100 million | 658 | 6 | Not listed | (256) 527-4214 | adviserinfo.sec.gov | |
| McKinney Capital, LLC | Birmingham | $91 million | 4 | 5 | 1 | (205) 697-1837 | mckinneycapital.net | adviserinfo.sec.gov |
| Oneascent Capital | Birmingham | $55.6 million | 3 | 1 | 2 | (205) 847-1343 | oneascent.com | adviserinfo.sec.gov |
| Fidelis Capital, LLC | Birmingham | $18.3 million | 3 | 1 | 1 | (205) 578-0592 | adviserinfo.sec.gov | |
| Collective Capital Ventures | Auburn | Not listed | Not listed | Not listed | 55 | (251) 229-0921 | ccventures.co | adviserinfo.sec.gov |
| Eastside Management Company, LLC | Huntsville | Not listed | Not listed | Not listed | 7 | (256) 327-8777 | adviserinfo.sec.gov | |
| H/N Management | Birmingham | Not listed | Not listed | Not listed | 3 | (205) 328-3120 | adviserinfo.sec.gov | |
| Redhawk Advisory | Birmingham | Not listed | Not listed | Not listed | 3 | (205) 530-3722 | adviserinfo.sec.gov | |
| First Avenue Ventures GP, LLC | Birmingham | Not listed | Not listed | Not listed | 2 | (205) 578-1005 | adviserinfo.sec.gov | |
| Reseed Fund Manager, LLC | Birmingham | Not listed | Not listed | Not listed | 2 | (205) 276-1717 | reseedpartners.com | adviserinfo.sec.gov |
| Sig Capital, LLC | Birmingham | Not listed | Not listed | Not listed | 1 | (205) 963-0846 | adviserinfo.sec.gov | |
| Lyons View Capital, LLC | Auburn | Not listed | 0 | 4 | Not listed | (334) 321-2321 | lyonsviewcapital.com | adviserinfo.sec.gov |
| Navigate Private Fund Advisors LLC | Birmingham | Not listed | 0 | 4 | Not listed | (610) 761-5671 | adviserinfo.sec.gov | |
| Somerset Advisory, LLC | Birmingham | Not listed | 0 | 6 | Not listed | (888) 501-2607 | adviserinfo.sec.gov |
Advisers in Alabama that manage private funds
29 advisers report private funds. The 40 with the most funds.
| Adviser | City | State | Private funds | Hedge | Private equity | Venture capital | Real estate | Fund gross assets | AUM | Source |
|---|---|---|---|---|---|---|---|---|---|---|
| Collective Capital Ventures | Auburn | AL | 55 | Not listed | Not listed | 55 | Not listed | $71.1 million | Not listed | adviserinfo.sec.gov |
| Harbert Fund Advisors, LLC | Birmingham | AL | 44 | 3 | 16 | 4 | 20 | $6.92 billion | $7.82 billion | adviserinfo.sec.gov |
| Anderson Growth Partners, LLC | Birmingham | AL | 37 | 13 | 11 | Not listed | Not listed | $839.3 million | $1.01 billion | adviserinfo.sec.gov |
| Waverly Advisors, LLC | Birmingham | AL | 19 | 1 | 7 | Not listed | 5 | $1.85 billion | $29.87 billion | adviserinfo.sec.gov |
| Arlington Partners LLC | Birmingham | AL | 15 | 1 | 7 | Not listed | 5 | $1.52 billion | $2.31 billion | adviserinfo.sec.gov |
| Brookline Investments, Inc. | Birmingham | AL | 7 | Not listed | 2 | 4 | Not listed | $222.5 million | $281.5 million | adviserinfo.sec.gov |
| Eastside Management Company, LLC | Huntsville | AL | 7 | Not listed | Not listed | 7 | Not listed | $146.1 million | Not listed | adviserinfo.sec.gov |
| Featheringill Capital, LLC | Birmingham | AL | 6 | Not listed | 6 | Not listed | Not listed | $117.9 million | $142.9 million | adviserinfo.sec.gov |
| Resource Management Service, LLC | Birmingham | AL | 5 | Not listed | Not listed | Not listed | 4 | $1.54 billion | $5.92 billion | adviserinfo.sec.gov |
| New Capital Partners | Birmingham | AL | 5 | Not listed | 5 | Not listed | Not listed | $232.6 million | $232.6 million | adviserinfo.sec.gov |
| Highland Associates Inc | Birmingham | AL | 4 | Not listed | Not listed | Not listed | Not listed | $1.61 billion | $20.99 billion | adviserinfo.sec.gov |
| Vulcan Value Partners LLC | Birmingham | AL | 4 | Not listed | Not listed | Not listed | Not listed | $57.2 million | $6.08 billion | adviserinfo.sec.gov |
| Mainsail Asset Management, LLC | Birmingham | AL | 4 | Not listed | 2 | Not listed | 2 | $83 million | $598.8 million | adviserinfo.sec.gov |
| Bonaventure Capital, LLC | Birmingham | AL | 4 | 1 | 3 | Not listed | Not listed | $38.5 million | $493.8 million | adviserinfo.sec.gov |
| Keel Point, LLC | Huntsville | AL | 3 | 2 | 1 | Not listed | Not listed | $34.2 million | $4.07 billion | adviserinfo.sec.gov |
| Park Lane Advisors, LLC | Birmingham | AL | 3 | Not listed | 3 | Not listed | Not listed | $49.4 million | $799 million | adviserinfo.sec.gov |
| Cook & Bynum Capital Management, LLC | Birmingham | AL | 3 | 3 | Not listed | Not listed | Not listed | $278.2 million | $359.8 million | adviserinfo.sec.gov |
| H/N Management | Birmingham | AL | 3 | Not listed | 2 | Not listed | Not listed | $21.7 million | Not listed | adviserinfo.sec.gov |
| Redhawk Advisory | Birmingham | AL | 3 | Not listed | Not listed | 3 | Not listed | $36 million | Not listed | adviserinfo.sec.gov |
| Forager Capital Management, LLC | Birmingham | AL | 2 | 1 | 1 | Not listed | Not listed | $352.9 million | $352.9 million | adviserinfo.sec.gov |
| Oneascent Capital | Birmingham | AL | 2 | Not listed | Not listed | Not listed | Not listed | $24.1 million | $55.6 million | adviserinfo.sec.gov |
| First Avenue Ventures GP, LLC | Birmingham | AL | 2 | Not listed | Not listed | 2 | Not listed | $2.3 million | Not listed | adviserinfo.sec.gov |
| Reseed Fund Manager, LLC | Birmingham | AL | 2 | Not listed | Not listed | Not listed | 2 | $61.4 million | Not listed | adviserinfo.sec.gov |
| Eversource Wealth Advisors, LLC | Birmingham | AL | 1 | Not listed | Not listed | Not listed | 1 | $9.4 million | $5.10 billion | adviserinfo.sec.gov |
| Colarion | Mountain Brook | AL | 1 | 1 | Not listed | Not listed | Not listed | $8.2 million | $188.3 million | adviserinfo.sec.gov |
| Abacus Investments LLC | Birmingham | AL | 1 | Not listed | 1 | Not listed | Not listed | $105.2 million | $105.9 million | adviserinfo.sec.gov |
| McKinney Capital, LLC | Birmingham | AL | 1 | Not listed | 1 | Not listed | Not listed | $37.1 million | $91 million | adviserinfo.sec.gov |
| Fidelis Capital, LLC | Birmingham | AL | 1 | Not listed | Not listed | 1 | Not listed | $12 million | $18.3 million | adviserinfo.sec.gov |
| Sig Capital, LLC | Birmingham | AL | 1 | 1 | Not listed | Not listed | Not listed | $44.9 million | Not listed | adviserinfo.sec.gov |
Newest SEC registrations in Alabama
2 advisers with an SEC status effective in the 90 days to November 2, 2026.
| Adviser | City | State | SEC status effective | AUM | Website | Source |
|---|---|---|---|---|---|---|
| Brighthaven Financial Advisors | Huntsville | AL | October 23, 2026 | $106.6 million | adviserinfo.sec.gov | |
| Somerset Advisory, LLC | Birmingham | AL | September 17, 2026 | Not listed | adviserinfo.sec.gov |
Cities in Alabama
| City | Advisers | AUM |
|---|---|---|
| Birmingham | 55 | $132.50 billion |
More ways to read Alabama
- Advisers in Alabama with $1 billion to $10 billion in AUM
- Advisers in Alabama with $500 million to $1 billion in AUM
- Advisers in Alabama with $100 million to $500 million in AUM
- Advisers in Alabama serving individuals
- Advisers in Alabama serving high net worth individuals
- Advisers in Alabama serving investment companies
- Advisers in Alabama serving pooled investment vehicles
- Advisers in Alabama serving pension and profit sharing plans
- Advisers in Alabama serving charitable organizations
- Advisers in Alabama serving corporations and other businesses
- Private fund advisers in Alabama
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.