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420 20Th Street North Suite 2200, Birmingham, AL 35203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2019-08-05 |
Branch Locations
420 20Th Street North, Suite 2200, Birmingham, AL 35203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| North River Group, Llc | Birmingham | AL | 07/2016 | Present |
On a periodic basis Dennis Hinton, through (North Bluff LLC) may introduce private parties to business owners and/or investment banks that are looking to sell part, or all, of their companies to interested parties. In exchange for this introductory service, Hinton would collect a separate, customary fee on deals that are consummated. This activity may create a conflict of interest insofar as additional income could be pursued apart from advisory work; however, the expected conflict would be minimal since the time devoted to this activity would be de minimis and this activity would not involve advisory clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-11-08 |
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