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Fidelon

Thornton Farish is a broker-dealer based in Montgomery, AL, that holds a 86.5/100 Fidelon TransparencyScore (64th percentile among broker-dealers), with 6 registered advisors. Score based on public SEC and FINRA filings.

86.5Transparency Score
Top36%
of broker-dealers

Thornton Farish

A registered broker-dealer.

3500 Eastern Blvd, Suite 210, Montgomery, AL, 36116-1781
Broker-Dealer
Prep Kit

Fidelon Fact Sheet

Thornton Farish INC. is a broker-dealer in Montgomery, AL. It used to be called Thornton, Farish & Gauntt, INC. It has 6 registered advisors. It can earn commissions when it sells you a product. It has regulatory actions on file, most recently in 1958.

86.5StrongTop 36% of broker-dealers
How they're paidNot disclosed in the firm's latest filing.
Not reported
Duty to youHeld to a suitability standard, not a fiduciary duty.
Broker-dealer
Assets under managementNot reported in the firm's latest filing.
Not reported
Firm size
6 advisors
Who holds your moneyThe firm reports it does not hold client funds.
No custody reported
Regulatory recordFull record in Regulatory Track Record below.
1 disclosure · last action 1958
Based on live filings from SEC Form ADV and FINRA BrokerCheck. Scored using Fidelon's published methodology. Data as of Oct 2026

Peer Context

National

920th of 2,606

broker-dealers

Top 36%

State

4th of 17

broker-dealers in AL

Top 24%

Local

2nd of 3

broker-dealers in Montgomery, AL

Bottom 33%

Compare Thornton Farish to other firms in AL →Find more financial advisors in Alabama →

Key Findings

Strengths

  • TransparencyScore in the top 36% of broker-dealers

Things You Should Know

  • 1 regulatory complaint reported by FINRA
  • $150 in regulatory fines
  • Broker-dealer only — not legally required to put your interests first

Conflict Audit

Conflict AuditCaution

Our analysis identified 1 potential conflict of interest in regulatory filings.

⚠
Registered as broker-dealer — not always required to act in your best interest
✓
No commission-based compensation
✓
No outside compensation sources
✓
No related-party custodian
✓
No performance-based fees
✓
No other business lines disclosed

Source: Form ADV Part 1, Items 6-8; Part 2A, Items 10-14

Regulatory Events

Next Steps

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Advisor Roster

6 advisors

AdvisorScoreGrade
Louis Charles Cardinal——
Prescott Woodruff Bamman——
Joseph Anthony Whitehead Jr——
Martha F Whitehead——
Garrett Douglas Bamman——
Robert Alexander Jackson——

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Frequently Asked Questions

What does the TransparencyScore measure?

The TransparencyScore measures how clearly and completely an advisor or firm discloses important information in their regulatory filings — things like fees, conflicts of interest, disciplinary history, and business practices. A higher score means better disclosure quality, not better investment performance.

Where does this data come from?

All data comes from public regulatory filings: SEC Form ADV (Parts 1, 2, and 3), FINRA BrokerCheck, and the SEC's Investment Adviser Public Disclosure (IAPD) database. These are official filings that firms and advisors are legally required to submit.

Does a low score mean they're a bad advisor?

Not necessarily. A low score means the firm's public filings are less transparent — they may use vague language about fees, skip details about conflicts, or have a more complex regulatory history. Some excellent advisors work at firms with poor disclosure practices. The score measures the filing, not the person.

How often is this data updated?

Fidelon refreshes data from SEC and FINRA sources on a regular schedule. Form ADV filings are updated annually by firms (with amendments throughout the year), and BrokerCheck data is updated as events are reported. Scores are recalculated after each data refresh.

Can an advisor or firm improve their score?

Yes. Scores are based on what's in public filings. A firm that rewrites its ADV brochure in clearer language, discloses conflicts more specifically, or resolves outstanding regulatory issues will see its score improve at the next refresh. The incentive structure is intentional.

Data Sources

SEC Form ADV Part 1 — Retrieved November 2, 2026SEC Form ADV Part 2ASEC IAPDFINRA BrokerCheck

Scores are generated using Fidelon's published scoring methodology and reflect the quality of public disclosures, not the quality of investment advice. A firm that improves its disclosures will see its score improve. Fidelon does not provide investment advice.

Verify on SEC IAPD · FINRA BrokerCheck

Last scored: · Score version: 3.15 · CRD #830