New investment advisers in Alabama
Adviser registrations that became effective in the last 45 days for firms whose main office is in Alabama: SEC-registered, SEC 120-day, exempt reporting and state-registered. Scored for compliance consultants, custodians, archiving, cyber, E&O and RIA software.
New exempt reporting adviser · 141New SEC-registered adviser · 90New SEC adviser (120-day rule) · 88New state-registered adviser · 302
3 registrations effective in the last 45 days matching your filters · page 1 of 1
| Score | Effective ↓ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 71 | 2026-10-23 | BRIGHTHAVEN FINANCIAL ADVISORS CRD 318730 · 801-137594 | New SEC-registered adviser | Huntsville, AL | 4 | $107M | subscribers | IAPD | |
| 45 | 2026-10-19 | REDHAWK ADVISORY CRD 297454 · 802-131710 | New state-registered adviser | Birmingham, AL | 2 | $33M | Advises private fundsNo website listed | subscribers | IAPD |
| 68 | 2026-09-17 | SOMERSET ADVISORY, LLC CRD 343852 · 801-137353 | New SEC adviser (120-day rule) | Birmingham, AL | 6 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
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One week delayed, headline and summary only, no card. It exists so you can judge the scoring before paying.