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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

BYRON FINANCIAL, LLC

CRD 141893

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:970d2e05-99d0-9da8-a9a3-98855afb7d02

Data as of Aug 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 8
On other graphs: 0
Observed: Mar 14, 2012 to Aug 7, 2024
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $600MItem 5.F on the latest filing (2024-08-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $13.2M
Private client RAUM: $516MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 476
Individual clients: 12
High net worth clients: 81
Custody, client assets: $520M
SEC number: 801-68802
CRD: 141893
Filings on the tape: 30
First filed: Mar 14, 2012
Latest filed: Aug 7, 2024
Organised: Limited Liability Company, North Carolina

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CI FINANCIAL CORP.	Owner	E	yes	11/2019	Aug 6, 2024	Aug 7, 2024
Corient	Owner	E	yes	07/2024	Aug 6, 2024	Aug 7, 2024
CORIENT HOLDINGS INC	Owner	E	yes	07/2023	Aug 6, 2024	Aug 7, 2024
CORIENT MANAGEMENT LLC	Owner	E	yes	12/2023	Aug 6, 2024	Aug 7, 2024
CORIENT PARTNERS LLC	Owner	E	yes	02/2022	Aug 6, 2024	Aug 7, 2024
ESTEP, STEPHEN, CHAD	CHIEF COMPLIANCE OFFICER	Na	yes	07/2024	Aug 6, 2024	Aug 7, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CORIENT PRIVATE WEALTH LLC	n/a	Independent wealth	$165B	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 26, 2024	$600M	$13.2M	6	2	0	n/a	n/a
2022	Mar 24, 2023	$560M	$12.1M	7	4	0	n/a	n/a
2021	Mar 21, 2022	$595M	$14.2M	6	3	0	n/a	n/a
2020	Mar 17, 2021	$534M	$0	6	3	0	n/a	n/a
2019	Feb 24, 2020	$464M	$0	5	3	0	n/a	n/a
2018	Mar 5, 2019	$376M	$0	6	3	0	n/a	n/a
2017	Mar 19, 2018	$318M	$0	6	3	0	n/a	n/a
2016	Feb 17, 2017	$255M	$0	6	2	n/a	n/a	n/a
2015	Mar 18, 2016	$203M	$0	4	2	n/a	n/a	n/a
2014	Mar 31, 2015	$174M	$0	4	2	n/a	n/a	n/a
2013	Mar 19, 2014	$207M	$164,056	1	1	n/a	n/a	n/a
2012	Mar 13, 2013	$147M	$0	9	1	n/a	n/a	n/a
2011	Mar 14, 2012	$113M	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$600M	$560M	7.2%	$534M	4.0%	6	7	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Corient	2	Aug 27, 2024	Aug 7, 2024	CHARLOTTE, NC	Team lift out	RIA to RIA	100.0%

Relationships

Affiliated with (1)

→ CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (5)

← ESTEP, STEPHEN, CHADOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 6, 2024 to presentfactForm ADV
← CI FINANCIAL CORP.OwnerOWNER, ownership code E, foreign entity
Aug 6, 2024 to presentfactForm ADV
← CORIENTOwnerOWNER, ownership code E, domestic entity
Aug 6, 2024 to presentfactForm ADV
← CORIENT MANAGEMENT LLCOwnerOWNER, ownership code E, domestic entity
Aug 6, 2024 to presentfactForm ADV
← CORIENT PARTNERS LLCOwnerOWNER, ownership code E, domestic entity
Aug 6, 2024 to presentfactForm ADV

Registered with (6)

← WILLIAM MCCOMAS BYRONAdvisorregistration: previous registration
May 8, 2019 to Aug 27, 2024factForm ADV
← JOSHUA SCOTT MAYORAdvisorregistration: previous registration
Apr 3, 2014 to Aug 27, 2024factForm ADV
← Kollin SchrenkAdvisorregistration: previous registration
Aug 19, 2021 to Mar 1, 2024factForm ADV
← Michael Patrick KeenAdvisorregistration: previous registration
Jul 19, 2022 to Oct 23, 2023factForm ADV
← MATTHEW ALAN BATSONAdvisorregistration: previous registration
Nov 16, 2020 to May 18, 2021factForm ADV
← PHILIP REES BRODYAdvisorregistration: previous registration
Jan 29, 2007 to Apr 1, 2014factForm ADV

Moved with (1)

→ CORIENTRegistered adviser2 advisors, team lift out, same day
Aug 27, 2024 to Aug 7, 2024factForm ADV

Dated events

Occurred
Aug 27, 2024
Team lift-out
2 advisors left Byron Financial, LLC (Charlotte, NC) for Corient on the same day
Form ADVobserved 4 days ago
2 advisors
Occurred
Aug 27, 2024
Advisor changed firm
William Mccomas Byron left Byron Financial, Llc for Corient (registered 2024-08-07)
Form ADVobserved 4 days ago
Occurred
Aug 27, 2024
Advisor changed firm
Joshua Scott Mayor left Byron Financial, Llc for Corient (registered 2024-08-07)
Form ADVobserved 4 days ago
Occurred
Aug 6, 2024
Control person joined
Chad Stephen Estep (Chief Compliance Officer) appeared on Schedule A of Byron Financial, Llc
Form ADVobserved 4 days ago
Occurred
Aug 6, 2024
Control person left
Mccomas William Byron (Majority Owner) no longer on Schedule A of Byron Financial, Llc (listed 2024-03-26, absent 2024-08-06)
Form ADVobserved 4 days ago
Occurred
Aug 6, 2024
Control person left
Scott Joshua Mayor (Minority Owner & Chief Compliance Officer) no longer on Schedule A of Byron Financial, Llc (listed 2024-03-26, absent 2024-08-06)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2024
Advisor changed firm
Kollin Schrenk left Byron Financial, Llc for Pathstone (registered 2024-06-03)
Form ADVobserved 4 days ago
Occurred
Oct 23, 2023
Advisor changed firm
Michael Patrick Keen left Byron Financial, Llc for Mariner (registered 2023-11-01)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:970d2e05-99d0-9da8-a9a3-98855afb7d02
First observed: Mar 14, 2012
Last observed: Aug 7, 2024 25 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BYRON FINANCIAL, LLC

CRD 141893

CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:970d2e05-99d0-9da8-a9a3-98855afb7d02

Data as of Aug 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:48 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CI FINANCIAL CORP.

Owner

yes

11/2019

Aug 6, 2024

Aug 7, 2024

Corient

Owner

yes

07/2024

Aug 6, 2024

Aug 7, 2024

CORIENT HOLDINGS INC

Owner

yes

07/2023

Aug 6, 2024

Aug 7, 2024

CORIENT MANAGEMENT LLC

Owner

yes

12/2023

Aug 6, 2024

Aug 7, 2024

CORIENT PARTNERS LLC

Owner

yes

02/2022

Aug 6, 2024

Aug 7, 2024

ESTEP, STEPHEN, CHAD

CHIEF COMPLIANCE OFFICER

yes

07/2024

Aug 6, 2024

Aug 7, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CORIENT PRIVATE WEALTH LLC

n/a

Independent wealth

$165B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 26, 2024

$600M

$13.2M

n/a

2022

Mar 24, 2023

$560M

$12.1M

n/a

2021

Mar 21, 2022

$595M

$14.2M

n/a

2020

Mar 17, 2021

$534M

n/a

2019

Feb 24, 2020

$464M

n/a

2018

Mar 5, 2019

$376M

n/a

2017

Mar 19, 2018

$318M

n/a

2016

Feb 17, 2017

$255M

n/a

2015

Mar 18, 2016

$203M

n/a

2014

Mar 31, 2015

$174M

n/a

2013

Mar 19, 2014

$207M

$164,056

n/a

2012

Mar 13, 2013

$147M

n/a

2011

Mar 14, 2012

$113M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$600M

$560M

7.2%

$534M

4.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Aug 27, 2024

Aug 7, 2024

CHARLOTTE, NC

Team lift out

RIA to RIA

100.0%