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RFG ADVISORY, LLC
CRD 158401File 801-79153
APPROVED
Retail clients
Filing as of Sep 21, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$7.97B
Top 10% of cohort (national)
Discretionary AUM
$7.97B
Clients
17,403
29,833 accounts
Employees
360
Top 10% of cohort in AL
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Feb 6, 2014
- Principal office
- 1400 URBAN CENTER DRIVE, SUITE 475, VESTAVIA HILLS, AL, 35242-2245
- Phone
- 205-397-2450
- Website
- HTTPS://WWW.4SWM.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $7.97B
- Discretionary AUM
- $7.97B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 29,833
- Non-discretionary accounts
- 0
- Total accounts
- 29,833
- AUM per client
- $458K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 110 | $86.6M |
| Investment companies | 9 | $2.77B |
| Charitable organizations | 38 | $9.0M |
| High net worth individuals | 1,256 | $2.56B |
| Pension and profit sharing plans | 38 | $10.9M |
| State or municipal government entities | Fewer than 5 | $5.0M |
| Individuals (other than high net worth individuals) | 15,951 | $2.53B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 17,410 | 17,403 | decreased by7 |
| Aug 1, 2026 | Employees | 311 | 360 | increased by49 |
| Aug 1, 2026 | Clients | 14,539 | 17,410 | increased by2,871 |
| Aug 1, 2026 | AUM | $6,813,842,355 | $7,969,008,040 | increased by$1,155,165,685 |
| Aug 1, 2026 | Accounts | 25,346 | 29,833 | increased by4,487 |
| Apr 1, 2026 | Employees | 277 | 311 | increased by34 |
| Apr 1, 2026 | Clients | 13,845 | 14,539 | increased by694 |
| Apr 1, 2026 | AUM | $6,120,333,343 | $6,813,842,355 | increased by$693,509,012 |
| Apr 1, 2026 | Accounts | 23,999 | 25,346 | increased by1,347 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 12,756 | 13,845 | increased by1,089 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $4,935,921,361 | $6,120,333,343 | increased by$1,184,411,982 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 21,585 | 23,999 | increased by2,414 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 101 | 277 | increased by176 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 8,110 | 12,756 | increased by4,646 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,728,866,112 | $4,935,921,361 | increased by$2,207,055,249 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “RFG ADVISORY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RFG ADVISORY” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.