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WALTON FINANCIAL

BIRMINGHAM, AL · CRD 331634 · IAPD ↗ · (205) 871-0154

$182.9MRegulatory AUM
3Advisory reps
7Employees
0Clients
26-50Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
July 2026 — WALTON FINANCIAL notice-filed in MS.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
50
July 2026 — WALTON FINANCIAL added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
November 2024 — WALTON FINANCIAL now reports custody of client assets ($36.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
November 2024 — WALTON FINANCIAL's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
July 2024 — WALTON FINANCIAL (BIRMINGHAM, AL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.