Waverly Advisors, Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 115332
· SEC file 801-60741
· Birmingham, AL
· www.facebook.com
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ADV data as of Jul 10, 2026
- Regulatory AUM
- $29.8B
- Discretionary
- $25.1B
- Clients
- 13,689
- Avg AUM / client
- $2.2M
- Accounts
- 35,709
- Employees
- 414
AUM over time
$865M
$29.8B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 10, 2026
Asset allocation (SMA assets by investment type)
as of Jul 10, 2026
Registered investment companies (funds/ETFs)
$20.8B
70%
Exchange-traded equities
$5.1B
17%
Pooled investment vehicles
$2.7B
9%
State & local bonds
$596M
2%
US government & agency bonds
$298M
1%
Investment-grade corporate bonds
$298M
1%
Cash & equivalents
$298M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 8,621 | $3.8B | 12.7% |
| High net worth individuals | 4,302 | $17.4B | 58.5% |
| Banking or thrift institutions | 2 | $3.9M | 0.01% |
| Investment companies | 1 | $16.6M | 0.06% |
| Pooled investment vehicles (non-investment companies) | 27 | $1.8B | 5.89% |
| Pension and profit sharing plans | 453 | $4.9B | 16.3% |
| Charitable organizations | 81 | $823M | 2.76% |
| State or municipal government entities | 1 | $14.4M | 0.05% |
| Insurance companies | 1 | $15.6M | 0.05% |
| Corporations and other businesses | 200 | $1.1B | 3.71% |
Private funds (8)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $225M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Waverly Opportunity Fund, Lp | Other Private Fund | Delaware | $94.6M | 99 |
| Waverly Opportunity Fund Ii, Lp | Other Private Fund | Delaware | $57.4M | 82 |
| Waverly Growth Fund I, Lp | Other Private Fund | Delaware | $29.5M | 83 |
| Waverly Income Fund, Lp | Other Private Fund | Delaware | $27.0M | 64 |
| Bt Select Fund I Lp | Other Private Fund | Delaware | $9.1M | 35 |
| Hs Select I, Llc | Other Private Fund | Georgia | $6.7M | 10 |
| Hfa, Ltd | Real Estate Fund | Alabama | $842K | 35 |
| Haines Opportunity Portfolio Ii, Llc Class A | Hedge Fund | Delaware | $188K | 9 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (226)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Justin Thomas Russell | President/Chief Executive Officer | Jan 2007 (20y) | Less than 5% | |
| John Brown Cox | Chief Investment Officer Of Public Markets | CFA | Apr 2017 (9y) | Less than 5% |
| Bresnan, Sean, Paul | Board Of Managers | Jan 2022 (5y) | GP / trustee / elected manager of Waam Topco, Llc (indirect) | |
| Copeland, John, William | Board Of Managers | Jan 2022 (5y) | GP / trustee / elected manager of Waam Topco, Llc (indirect) | |
| Echols, Heath, Ryan | Chief Technology Officer | Jan 2022 (5y) | Less than 5% | |
| Gill, Richard, Paschall | Board Of Managers | Jan 2022 (5y) | GP / trustee / elected manager of Waam Topco, Llc (indirect) | |
| Lawson, Richard, Franklin | Board Of Managers | Jan 2022 (5y) | GP / trustee / elected manager of Aspire Holdings, Llc (indirect) | |
| Lazenby, James, Robert | Chief Financial Officer | Jan 2022 (5y) | Less than 5% | |
| Roesch, Matthew, David | Board Of Managers | Jan 2022 (5y) | GP / trustee / elected manager of Waam Topco, Llc (indirect) | |
| White, Neil, Harley | Board Of Managers | Jan 2022 (5y) | GP / trustee / elected manager of Waam Topco, Llc (indirect) | |
| Young, Jon, Steven | Board Of Managers | Jan 2022 (5y) | GP / trustee / elected manager of Aspire Holdings, Llc (indirect) | |
| Snell, Justin, Howell | Chief Operating Officer | Jul 2022 (4y) | Less than 5% | |
| William Clay Mcdaniel | Chief Investment Officer Of Private Markets | CFA | Jul 2022 (4y) | Less than 5% |
| Gunn, Brent, Joseph | Chief Information Officer | Mar 2023 (3y) | Less than 5% | |
| Sleuwen, Markus, Ramon Franz | Chief Compliance Officer | Feb 2024 (3y) | Less than 5% | |
| Steven Clay Causey | Registered representative | Feb 2000 (26y) | ||
| David Mckown Foreman | Registered representative | CFP | Jan 2008 (19y) | |
| Melanie Luther Nichols | Registered representative | CFP CFA | Nov 2011 (15y) | |
| Jeffrey Paul Helms | Registered representative | CFP | Apr 2012 (14y) | |
| Anneliese Ernestine Roemer | Registered representative | Apr 2012 (14y) | ||
| Jennifer Brochu Groulx | Registered representative | May 2012 (14y) | ||
| John Randolph Adams | Registered representative | Nov 2012 (14y) | ||
| Joseph Ross Mcnair | Registered representative | CFP | Feb 2013 (13y) | |
| Kelly Scott Clary | Registered representative | Feb 2013 (13y) | ||
| Gavin P. Gillison | Registered representative | CFP | May 2013 (13y) | |
| Aaron Michael Nelson | Registered representative | Jan 2016 (11y) | ||
| Grant Weston Cardwell | Registered representative | Mar 2016 (10y) | ||
| Andrew Aris Gearhart | Registered representative | CFP | Apr 2017 (9y) | |
| Diana Contorno | Registered representative | Mar 2018 (8y) | ||
| Elizabeth Lyerly Brasher | Registered representative | Jan 2020 (7y) | ||
| Kimberly Mcdonald Warner | Registered representative | Aug 2020 (6y) | ||
| Evan Barnett Crouse | Registered representative | CFP | Oct 2020 (6y) | |
| Ashley Diann Tucker | Registered representative | CFP | Mar 2021 (5y) | |
| Jonathan R Osborne | Registered representative | Apr 2022 (4y) | ||
| Laura Turner Baker | Registered representative | CFP | May 2022 (4y) | |
| Leigh Ann Thrash | Registered representative | May 2022 (4y) | ||
| Teresa R Munro | Registered representative | CFP | Jul 2022 (4y) | |
| Clifford Weldon Draughn | Registered representative | Jul 2022 (4y) | ||
| Orlow Medwin Walstad | Registered representative | CFA | Aug 2022 (4y) | |
| Benjamin Grey Logan | Registered representative | CFP | Sep 2022 (4y) | |
| William J Mc Mahon | Registered representative | Sep 2022 (4y) | ||
| Scott Edward Craig | Registered representative | CFA | Sep 2022 (4y) | |
| James Edward Sandifer | Registered representative | CFP | Jan 2023 (4y) | |
| Marc Douglas Salyers | Registered representative | CFP | Jan 2023 (4y) | |
| Thomas Allen Dicesare | Registered representative | Feb 2023 (3y) | ||
| Christopher James Mcgarvey | Registered representative | CFP | Feb 2023 (3y) | |
| Hosler Lee Wall | Registered representative | CFP Personal Financial Specialist | Feb 2023 (3y) | |
| Brian Kelly Hershberger | Registered representative | CFP CFA | Apr 2023 (3y) | |
| Irby Jones Thompson | Registered representative | CFP | Jun 2023 (3y) | |
| Katia Muriel Palza | Registered representative | Jul 2023 (3y) | ||
| Glenda Marie Molina | Registered representative | CFP | Jul 2023 (3y) | |
| James Allen Werner | Registered representative | CFP | Jul 2023 (3y) | |
| Thomas William Brown | Registered representative | Jul 2023 (3y) | ||
| Harrison Flint Deshazo | Registered representative | CFP | Sep 2023 (3y) | |
| David Bradley Fields | Registered representative | CFA | Sep 2023 (3y) | |
| Edward L. Carlisle | Registered representative | CFP | Oct 2023 (3y) | |
| Julius M Ridgway | Registered representative | CFA | Oct 2023 (3y) | |
| Douglas Paul Muenzenmay | Registered representative | CFA | Oct 2023 (3y) | |
| Brett Michael Brownfield | Registered representative | Nov 2023 (3y) | ||
| Erik James Aspelin | Registered representative | CFP | Nov 2023 (3y) | |
| Ellis Dwight Rainsberger | Registered representative | Nov 2023 (3y) | ||
| Malinda Dawn Sutton | Registered representative | Nov 2023 (3y) | ||
| Rhonda Karen Holifield | Registered representative | CFP | Dec 2023 (3y) | |
| Ashlynne Michelle Pala | Registered representative | CFP | Jan 2024 (3y) | |
| Madeline Mc Lean Brown | Registered representative | CFP | Jan 2024 (3y) | |
| Jeremy D. Schares | Registered representative | CFP | Jan 2024 (3y) | |
| Blake Andrew Macke | Registered representative | Jan 2024 (3y) | ||
| Bradley Jon Rathe | Registered representative | Jan 2024 (3y) | ||
| Bradley Michael Steinman | Registered representative | CFP | Jan 2024 (3y) | |
| Chad Eric Hassinger | Registered representative | CFP | Jan 2024 (3y) | |
| Christian Resendiz | Registered representative | Jan 2024 (3y) | ||
| Doug Justin Hoover | Registered representative | CFP Chartered Financial Consultant | Jan 2024 (3y) | |
| Jennifer Suzanne Ryan | Registered representative | CFP | Jan 2024 (3y) | |
| Kashish Meghani | Registered representative | Jan 2024 (3y) | ||
| Nicole Marie Clarke | Registered representative | Jan 2024 (3y) | ||
| Stephen Joseph Barrett | Registered representative | CFP | Jan 2024 (3y) | |
| Steven Michael Gronceski | Registered representative | CFP | Jan 2024 (3y) | |
| Victoria Elizabeth Mae Chatman | Registered representative | Jan 2024 (3y) | ||
| Pamela Ann Martin | Registered representative | CFP | Jan 2024 (3y) | |
| Cheryl Benton Bott | Registered representative | CFP | Feb 2024 (2y) | |
| Christopher James Register | Registered representative | CFP | Mar 2024 (2y) | |
| Douglas Max Mcdaniel | Registered representative | CFP | Mar 2024 (2y) | |
| William Orlando Stone | Registered representative | Apr 2024 (2y) | ||
| Dalton Clary | Registered representative | CFP | May 2024 (2y) | |
| Corey Alan Meyer | Registered representative | CFP | May 2024 (2y) | |
| Daniele Marie Donahoe | Registered representative | CFA | May 2024 (2y) | |
| Lorraine R Tomlin | Registered representative | May 2024 (2y) | ||
| Michael Elliott Van Ness | Registered representative | CFA | May 2024 (2y) | |
| Rebecca Lynn Hoover | Registered representative | May 2024 (2y) | ||
| Sandra Bradley Carlson | Registered representative | CFP | May 2024 (2y) | |
| Emmett Barry Beard | Registered representative | May 2024 (2y) | ||
| Ryan Daniel Moore | Registered representative | CFP | Jun 2024 (2y) | |
| Preston Cody Sharpe | Registered representative | CFP | Jun 2024 (2y) | |
| Brian Mathew Chustz | Registered representative | Jun 2024 (2y) | ||
| Nathan Ellyson | Registered representative | Jun 2024 (2y) | ||
| Robert Maurice Simon | Registered representative | CFP | Aug 2024 (2y) | |
| Sean Lacey | Registered representative | CFP | Aug 2024 (2y) | |
| Wesley Petersen Martin | Registered representative | Aug 2024 (2y) | ||
| Maria Luna Mora Velasquez | Registered representative | Aug 2024 (2y) | ||
| Nevan Piyush Patel | Registered representative | Sep 2024 (2y) | ||
| Brian Joseph Brunner | Registered representative | CFP | Oct 2024 (2y) | |
| Eric Francis Geary | Registered representative | Oct 2024 (2y) | ||
| Patrick James Hoehne | Registered representative | CFA | Oct 2024 (2y) | |
| Cathy Renee Waters | Registered representative | Oct 2024 (2y) | ||
| Clayton Michael Reynolds | Registered representative | Oct 2024 (2y) | ||
| Clarissa Ann Warner | Registered representative | CFP | Oct 2024 (2y) | |
| Edwina Louise Martin | Registered representative | Oct 2024 (2y) | ||
| Jacob Robert Petrie | Registered representative | CFP | Oct 2024 (2y) | |
| Joseph Peyton Belew | Registered representative | Oct 2024 (2y) | ||
| Peter Charles Bohrofen | Registered representative | Oct 2024 (2y) | ||
| Thomas Edward Finley | Registered representative | Oct 2024 (2y) | ||
| Walter Bishop Lunsford | Registered representative | Oct 2024 (2y) | ||
| William Andrew Groth | Registered representative | Oct 2024 (2y) | ||
| Carson Lee Eddy | Registered representative | CFP | Oct 2024 (2y) | |
| Jeffrey Lawrence Mueller | Registered representative | Personal Financial Specialist | Oct 2024 (2y) | |
| Allen Zachariah Thuma | Registered representative | CFP | Nov 2024 (2y) | |
| Gerald Valentine Krach | Registered representative | Nov 2024 (2y) | ||
| Janet Carol Steinke | Registered representative | CFP | Nov 2024 (2y) | |
| Lance C Steiner | Registered representative | CFP | Nov 2024 (2y) | |
| Melissa Lynn Mueller | Registered representative | Nov 2024 (2y) | ||
| Nicole Theisen Strbich | Registered representative | CFP | Nov 2024 (2y) | |
| Tracy E Travis | Registered representative | CFP | Nov 2024 (2y) | |
| Christina N Israel | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Ryan Patrick Johnson | Registered representative | CFP CFA | Nov 2024 (2y) | |
| Bradley Paul Griffith | Registered representative | CFP | Nov 2024 (2y) | |
| Emily M Cozad | Registered representative | Nov 2024 (2y) | ||
| Jay Allen Buckingham | Registered representative | CFP | Nov 2024 (2y) | |
| Jeff Harold Groezinger | Registered representative | Personal Financial Specialist | Nov 2024 (2y) | |
| James Alan Brown | Registered representative | CFA | Nov 2024 (2y) | |
| Marla Rae Chambers | Registered representative | CFP | Nov 2024 (2y) | |
| Sydney B Burchett | Registered representative | Nov 2024 (2y) | ||
| Mitchell Thomas Bodenmiller | Registered representative | CFA | Nov 2024 (2y) | |
| Kaleigh Stovall Shipman | Registered representative | Dec 2024 (2y) | ||
| Michele Maria Fasanello | Registered representative | Dec 2024 (2y) | ||
| Daniel Burton Brady | Registered representative | CFP | Dec 2024 (2y) | |
| David Arden Emery | Registered representative | CFP | Dec 2024 (2y) | |
| Richard William Bell | Registered representative | Dec 2024 (2y) | ||
| David Lee Piatkowski | Registered representative | Jan 2025 (2y) | ||
| Paul Michael Larkin | Registered representative | Jan 2025 (2y) | ||
| Ronny Eugene Dickinson | Registered representative | CFP | Jan 2025 (2y) | |
| Wayne George Lesage | Registered representative | CFP CFA | Jan 2025 (2y) | |
| Christina Lynn Derham | Registered representative | Jan 2025 (2y) | ||
| Jacob Anthony Weber | Registered representative | Feb 2025 (1y) | ||
| Jennifer Ann Sweeney | Registered representative | Mar 2025 (1y) | ||
| Michael Dean Little | Registered representative | CFP | Mar 2025 (1y) | |
| Steven Thomas Hannigan | Registered representative | CFA | Mar 2025 (1y) | |
| Evan David Maushart | Registered representative | Apr 2025 (1y) | ||
| Robert Scott Collins | Registered representative | Apr 2025 (1y) | ||
| Jeffrey Grant Johnson | Registered representative | CFP | Jul 2025 (1y) | |
| Ethan Colby Turner | Registered representative | Jul 2025 (1y) | ||
| Michael O Hays | Registered representative | CFP | Jul 2025 (1y) | |
| Michael Crews Kay | Registered representative | CFA | Aug 2025 (1y) | |
| Miles Isaiah Gunn | Registered representative | Sep 2025 (1y) | ||
| Leah Christine Schulte | Registered representative | CFP | Sep 2025 (1y) | |
| Neal Schulte | Registered representative | CFP | Sep 2025 (1y) | |
| Nicholas N Schulte | Registered representative | CFP | Sep 2025 (1y) | |
| Christopher Malcolm Blakely | Registered representative | Oct 2025 (1y) | ||
| Michael Thomas Whitney | Registered representative | CFA | Oct 2025 (1y) | |
| Sean Patrick Fitzgibbon | Registered representative | CFA | Oct 2025 (1y) | |
| Kevin James Carroll | Registered representative | Oct 2025 (1y) | ||
| Eric Peter Jarvis | Registered representative | Oct 2025 (1y) | ||
| Frank Christopher Greekas | Registered representative | Oct 2025 (1y) | ||
| George Robert Jarvis | Registered representative | Oct 2025 (1y) | ||
| Ketulkumar Jatinbhai Trivedi | Registered representative | CFA | Oct 2025 (1y) | |
| Lawerence Lee Hood | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Benjamin Paul Hines | Registered representative | Oct 2025 (1y) | ||
| Gregory James Conway | Registered representative | Oct 2025 (1y) | ||
| Harve Eugene Menkens | Registered representative | Oct 2025 (1y) | ||
| Matthew Curtis Litzler | Registered representative | CFP | Oct 2025 (1y) | |
| Scott Thomas Fisher | Registered representative | CFP CFA | Oct 2025 (1y) | |
| Stedman Alexander Strickland | Registered representative | Oct 2025 (1y) | ||
| James Edward Ayres | Registered representative | CFA | Oct 2025 (1y) | |
| Barry Nathan Paster | Registered representative | Nov 2025 (1y) | ||
| Lisa Evelyn Bracken | Registered representative | Nov 2025 (1y) | ||
| Scott Thomas Myers | Registered representative | CFP | Nov 2025 (1y) | |
| Brian Birney Musso | Registered representative | Nov 2025 (1y) | ||
| Cooper Downs White | Registered representative | Nov 2025 (1y) | ||
| Charles Thomas Adair | Registered representative | Nov 2025 (1y) | ||
| Jacob Michael Barton | Registered representative | Nov 2025 (1y) | ||
| John Charles Murphy | Registered representative | CFA | Nov 2025 (1y) | |
| Katherine Beth Scott | Registered representative | Nov 2025 (1y) | ||
| Mark John Aloisio | Registered representative | Nov 2025 (1y) | ||
| Anthony Ralph Cottone | Registered representative | Dec 2025 (1y) | ||
| Arthur Robert Romano | Registered representative | Dec 2025 (1y) | ||
| Carl Alan Schultz | Registered representative | Dec 2025 (1y) | ||
| Bryan Larsen | Registered representative | Dec 2025 (1y) | ||
| Quinn Stephen Michel | Registered representative | CFP | Dec 2025 (1y) | |
| Christopher Cruz Brooks | Registered representative | CFP | Dec 2025 (1y) | |
| Ryan Mackenzie Baldwin | Registered representative | Dec 2025 (1y) | ||
| Morris Lee Brill | Registered representative | Jan 2026 (1y) | ||
| Mark Dwayne Bauer Jr. | Registered representative | Jan 2026 (1y) | ||
| Julie Diane Johnsen | Registered representative | Jan 2026 (1y) | ||
| Nikolaas Daby Schuurmans | Registered representative | CFA | Jan 2026 (1y) | |
| Timothy Hiu Yeung Metz | Registered representative | Jan 2026 (1y) | ||
| Tristan Mancisidor | Registered representative | Jan 2026 (1y) | ||
| William Allen Weber | Registered representative | CFA | Jan 2026 (1y) | |
| David Sanderlin | Registered representative | Feb 2026 (0y) | ||
| Jennifer Hamner Kendall | Registered representative | CFP | Feb 2026 (0y) | |
| Brian Thomas Hughes | Registered representative | Feb 2026 (0y) | ||
| Tia Rosehill | Registered representative | CFP | Feb 2026 (0y) | |
| Jennings Patrick Pitts | Registered representative | Feb 2026 (0y) | ||
| Long Xie Delille | Registered representative | CFA | Mar 2026 (0y) | |
| Samantha Irene Gianella | Registered representative | Mar 2026 (0y) | ||
| Michael James Mcbride | Registered representative | Mar 2026 (0y) | ||
| Alexander Dolle | Registered representative | CFA | Mar 2026 (0y) | |
| Grace Katherine Pettit | Registered representative | Mar 2026 (0y) | ||
| Megan Leigh Hendrick | Registered representative | Apr 2026 (0y) | ||
| Jackson E Young | Registered representative | Apr 2026 (0y) | ||
| Christopher John Hitzman | Registered representative | May 2026 (0y) | ||
| Cory Marion Faucheux | Registered representative | May 2026 (0y) | ||
| David Paul Mire | Registered representative | May 2026 (0y) | ||
| Erin Lynn Vasseur | Registered representative | May 2026 (0y) | ||
| Matthew William Rodrigue | Registered representative | May 2026 (0y) | ||
| Thomas James Claud | Registered representative | May 2026 (0y) | ||
| William Brooks Wall | Registered representative | CFP | May 2026 (0y) | |
| Wesley Christian Bouler | Registered representative | May 2026 (0y) | ||
| Garrett Bradley Ulmer | Registered representative | CFP | May 2026 (0y) | |
| Megan De Roche Ulmer | Registered representative | May 2026 (0y) | ||
| James Carlos Parrie | Registered representative | May 2026 (0y) | ||
| Katy Lynn Hane | Registered representative | May 2026 (0y) | ||
| Charles Lee Simmons | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Lori Marie De La Torre | Registered representative | May 2026 (0y) | ||
| William Travis Maisano | Registered representative | May 2026 (0y) | ||
| Raymond Brent Cooley | Registered representative | Personal Financial Specialist | May 2026 (0y) | |
| Joseph Michael Cheff | Registered representative | Jun 2026 (0y) | ||
| Christopher Rhoades | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Waam Parent, Llc | Managing Member | Jan 2022 | A | 75% or more |
| Waam Topco, Llc | Managing Member | Jan 2022 | B | ≈ 56.25% – 100% via Waam Parent, Llc |
| Aspire Holdings, Llc | Owner | Jan 2022 | B | ≈ 21.09% – 75% via Project Charlie Acquisition, Llc |
| Hggc Fund Iv A, L.P. | Owner | Jan 2022 | B | ≈ 15.82% – 75% via Aspire Holdings, Llc |
| Project Charlie Acquisition, Llc | Owner | Jan 2022 | B | ≈ 28.13% – 75% via Waam Topco, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Waam Topco, Llc: 75% – 100% of Waam Parent, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Aspire Holdings, Llc: 75% – 100% of Project Charlie Acquisition, Llc × 50% – 75% of Waam Topco, Llc × 75% – 100% of Waam Parent, Llc × 75% – 100% direct ≈ 21.09% – 75% of the firm
- Hggc Fund Iv A, L.P.: 75% – 100% of Aspire Holdings, Llc × 75% – 100% of Project Charlie Acquisition, Llc × 50% – 75% of Waam Topco, Llc × 75% – 100% of Waam Parent, Llc × 75% – 100% direct ≈ 15.82% – 75% of the firm
- Project Charlie Acquisition, Llc: 50% – 75% of Waam Topco, Llc × 75% – 100% of Waam Parent, Llc × 75% – 100% direct ≈ 28.13% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (8, $225M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Waverly Opportunity Fund, Lp | Other Private Fund | $94.6M | $250K | 99 |
| Waverly Opportunity Fund Ii, Lp | Other Private Fund | $57.4M | $250K | 82 |
| Waverly Growth Fund I, Lp | Other Private Fund | $29.5M | $250K | 83 |
| Waverly Income Fund, Lp | Other Private Fund | $27.0M | $250K | 64 |
| Bt Select Fund I Lp | Other Private Fund | $9.1M | $250K | 35 |
| Hs Select I, Llc | Other Private Fund | $6.7M | $1.0M | 10 |
| Hfa, Ltd | Real Estate Fund | $842K | $50.0K | 35 |
| Haines Opportunity Portfolio Ii, Llc Class A | Hedge Fund | $188K | $200K | 9 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (38)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Mitchell Grocery Corporation Profit Sharing/401(k) Plan | Mitchell Grocery Corporation | 888 | $23.8M | 07/01/2024 |
| Signal Centers 401(k) Plan | Signal Centers | 392 | $12.4M | 07/01/2024 |
| Cullman Primary Care, P.C. 401(k) Profit Sharing Plan | Cullman Primary Care, P.C. | 0 | $0 | 01/01/2024 |
| Sims Bark Co., Inc. 401(k) Profit Sharing Plan | Sims Bark Co., Inc. | 265 | $8.1M | 01/01/2024 |
| U Of I Community Credit Union 401(k) Plan | U Of I Community Credit Union | 179 | $18.0M | 01/01/2024 |
| Yorktown Systems Group 401(k) Plan | Yorktown Systems Group | 458 | $18.1M | 01/01/2024 |
| Alliance Partners 401(k) Plan | Ncp Management Holdings, Inc. | 159 | $7.1M | 01/01/2024 |
| Asmoc Pension Plan | Andrews Sports Medicine And Orthopaedic Center, Llc | 0 | $0 | 01/01/2024 |
| Jungle Jim's Savings Plan | Jungle Jim's Market, Inc. | 438 | $7.8M | 01/01/2024 |
| Warren Averett Companies, Llc Profit Sharing Plan | Warren Averett Companies, Llc | 703 | $196M | 01/01/2024 |
| Restore Management 401 K Plan | Restore Therapy Services Ltd | 587 | $34.8M | 01/01/2024 |
| Starnes Davis Florie Llp 401(k) Profit Sharing Plan | Starnes Davis Florie Llp | 114 | $65.1M | 01/01/2024 |
| Ims 401(k) Plan | Ironmountain Solutions, Inc. | 334 | $46.7M | 01/01/2024 |
| Trident Fund Services, Inc.401(k) Plan | Trident Trust Company (South Dakota) Inc. | 112 | $6.9M | 01/01/2024 |
| Thompson Gray, Inc. Retirement Plan | Thompson Gray, Inc. | 259 | $22.5M | 01/01/2024 |
| Metro Bank 401(k)plan | Metro Bank | 146 | $22.6M | 01/01/2024 |
| Command Alkon Incorporated 401(k) Profit Sharing Plan | Command Alkon Incorporated | 394 | $68.8M | 01/01/2024 |
| Phelps Dunbar, Llp Savings And Retirement Plan | Phelps Dunbar, Llp | 727 | $295M | 01/01/2024 |
| Wellborn Cabinet, Inc. 401(k) Profit Sharing Plan | Wellborn Cabinet Inc. | 1,394 | $31.4M | 01/01/2024 |
| Heart South Cardiovascular Group, P.C. 401(k) Profit Sharing Plan | Heart South Cardiovascular Group, P.C. | 93 | $18.2M | 01/01/2024 |
| Material Sciences Corporation Savings And Investment Plan | Material Sciences Corporation | 249 | $55.1M | 01/01/2024 |
| Friendship Bancorp 401(k) Plan | Friendship Bancorp, Inc. | 101 | $9.6M | 01/01/2024 |
| Rocky Mountain Health Care Services 403(b) Plan | Rocky Mountain Health Care Services | 439 | $18.1M | 01/01/2024 |
| Trademark Construction Services, Llc Profit Sharing Plan | Trademark Construction Services, Llc | 118 | $5.2M | 01/01/2024 |
| Gabriella White, Llc 401(k) Plan | Gabriella White, Llc | 327 | $13.4M | 01/01/2024 |
Top 25 of 38 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 5.42 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $16.7B (56% of AUM) Jul 2026
- Fidelity Brokerage Services $5.1B (17% of AUM) Jul 2026
- National Financial Services (Fidelity) $2.0B (17% of AUM) Oct 2024
- Mid Atlantic Trust Company $984M (9% of AUM) Oct 2024
- Newedge Securities, Inc. $867M (15% of AUM) Apr 2023
- Matrix Trust Company $865M (26% of AUM) Feb 2022
- Pershing $591M (10% of AUM) Apr 2023
- Fidelity Investments Institutional Services Company, Inc. $503M (20% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗