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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

B.B. GRAHAM & COMPANY, INC.

CRD 41533

ORANGE, CA

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:cdb06138-d04a-0c16-bfea-f94f6e1302ae

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 63
Dated events: 12
On other graphs: 0
Observed: Nov 17, 2015 to Mar 23, 2026
34 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=32.0
Regulatory AUM: $322MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $177M
Private client RAUM: $322MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 30
RAUM per advisor: $10.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 32
Advisory employees: 32
Offices: 10Schedule D 1.F, beyond the principal office
Accounts: 427
Individual clients: 323
High net worth clients: 104
SEC number: 801-106968
CRD: 41533
Filings on the tape: 34
First filed: Nov 17, 2015
Latest filed: Mar 23, 2026
Organised: Corporation, CA
Website: bbgraham.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 28

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JONATHAN EDWARD RICK	n/a	LINCOLNSHIRE, IL	18	26	2	yes
THOMAS PATRICK EVESLAGE	n/a	ORANGE, CA \| AUSTIN, TX	18	36	3	yes
DOUGLAS BRAD CALLEN	Certified Financial Planner\|Chartered Financial Consultant	ORANGE, CA	15	29	4	yes
JOHN WAYNE BETTFREUND	n/a	ORANGE, CA	12	22	3	yes
MATT DALE MABERRY	n/a	ORANGE, CA \| Alton, IL	10	37	1	yes
ROBERT E NORTH	n/a	ORANGE, CA \| Portland, OR	10	19	3	yes
LEONARD DALE WYSS	n/a	ORANGE, CA	10	38	2	yes
WILLIAM DEAN BYRD	Certified Financial Planner	Tampa, FL \| ORANGE, CA	7	38	3	yes
JEFFRE SCOTT REININGER	n/a	ORANGE, CA \| Sunriver, OR	6	30	5	yes
JOHN WALTER MARSHALL	n/a	ORANGE, CA \| Newport Beach, CA	6	41	1	yes
DAMIEN JOSEPH MORALES	n/a	ORANGE, CA \| Honolulu, HI	6	22	1	yes
Eduardo Larios	n/a	ORANGE, CA	3	27	5	yes
STEVEN GUSTAF CARLSON	n/a	FALMOUTH, MA	2	34	3	yes
STEVEN VINCENT ANDERSON	n/a	ORANGE, CA \| Orange, CA	2	30	3	yes
WILLIAM DONALD RAMIRES	n/a	Lake Forest, CA \| ORANGE, CA	2	37	3	yes
SCOTT EDWARD EVERHART	n/a	ORANGE, CA \| Leander, TX	1	39	4	yes
David Alan Ramos	n/a	ORANGE, CA \| Clarksville, TN	1	28	4	yes
SHARON KAYE ADAMS	n/a	WARRENVILLE, IL \| ORANGE, CA	1	40	3	yes
IRWIN BRUCE SCHEINESON	Chartered Financial Consultant	ORANGE, CA \| Sarasota, FL	1	42	1	yes
JOHN BYRON HAMPTON	n/a	ORANGE, CA \| Orlando, FL	1	33	2	yes
Leslie Apseloff	n/a	Roswell, GA \| ORANGE, CA	1	13	n/a	yes
JOHN FRANCIS CONWAY	n/a	ORANGE, CA \| DUNMORE, PA	1	38	1	yes
GORDANA SCHIFANELLI	n/a	ORANGE, CA \| Stevensville, MD	0	26	5	yes
ROBERT BRYAN FITZPATRICK	n/a	DUNMORE, PA \| ORANGE, CA	0	45	2	yes
Jaimie Chan	n/a	ORANGE, CA	0	11	n/a	yes

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
BETTFREUND, JOHN WAYNE JR	CHIEF COMPLIANCE OFFICER	Na	yes	08/2014	Nov 17, 2015	Dec 18, 2024
CALLEN, DOUGLAS BRAD	SENIOR VICE PRESIDENT	Na	yes	10/2010	Nov 17, 2015	Dec 18, 2024
GODINEZ, MARIE ELIZABETH	CHIEF OPERATIONS OFFICER	Na	yes	01/2014	Nov 17, 2015	Dec 18, 2024
GRAHAM, BRUCE EDWIN	PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP	E	yes	07/1996	Nov 17, 2015	Dec 18, 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
GRAHAM & CO. ADVISORY, INC.	n/a	State registered	$21.4M	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Alton	IL	United States	2	yes
Lincolnshire	IL	United States	1	yes
Westfield	In	United States	1	no
OKLAHOMA CITY	Ok	United States	1	yes
Springfield	Or	United States	1	yes
Austin	TX	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes

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
2025	Mar 23, 2026	$322M	$177M	32	32	10	n/a	n/a
2024	Apr 16, 2025	$196M	$49.1M	28	28	9	n/a	n/a
2023	Mar 20, 2024	$173M	$37.2M	27	27	10	n/a	n/a
2022	Mar 30, 2023	$220M	$38.9M	29	29	13	n/a	n/a
2021	Mar 22, 2022	$322M	$50.2M	29	29	13	n/a	n/a
2020	Mar 17, 2021	$211M	$37.7M	31	31	12	n/a	n/a
2019	Mar 13, 2020	$189M	$38.8M	33	33	13	n/a	n/a
2018	Mar 19, 2019	$139M	$26.5M	27	25	8	n/a	n/a
2017	Mar 21, 2018	$104M	$23.4M	29	25	8	n/a	n/a
2016	Mar 17, 2017	$77.5M	$20.1M	29	25	n/a	n/a	n/a
2015	Mar 24, 2016	$25.7M	$13.1M	27	21	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
5	1	4	3.3%	1	0	0	16	3

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
2025	$322M	$196M	64.0%	$220M	13.6%	32	28	10	9

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
LPL FINANCIAL LLC	2	Dec 16, 2022	Dec 7, 2022	ORANGE, CA	Team lift out	RIA to RIA	11.8%
MOORS & CABOT, INC	2	Nov 5, 2021	Nov 5, 2021	KEOKUK, IA	Team lift out	RIA to ibd	10.5%

Relationships

Registered with (56)

← FRANK HOWARD ZITOAdvisorregistration: current employment
Aug 20, 2026 to presentfactForm ADV
← MARIE ELIZABETH GODINEZAdvisorregistration: current employment
Dec 19, 2025 to presentfactForm ADV
← Sheri A StrainAdvisorregistration: previous registration
May 10, 2018 to Dec 31, 2023factForm ADV
← Jaimie ChanAdvisorregistration: current employment
Nov 25, 2025 to presentfactForm ADV
← ROBERT BRYAN FITZPATRICKAdvisorregistration: current employment
Oct 31, 2025 to presentfactForm ADV
← GORDANA SCHIFANELLIAdvisorregistration: current employment
Oct 28, 2025 to presentfactForm ADV
← JOHN FRANCIS CONWAYAdvisorregistration: current employment
Sep 4, 2025 to presentfactForm ADV
← Leslie ApseloffAdvisorregistration: current employment
Aug 29, 2025 to presentfactForm ADV
← JOHN BYRON HAMPTONAdvisorregistration: current employment
Jul 2, 2025 to presentfactForm ADV
← IRWIN BRUCE SCHEINESONAdvisorregistration: current employment
Apr 16, 2025 to presentfactForm ADV
← SHARON KAYE ADAMSAdvisorregistration: current employment
Mar 4, 2025 to presentfactForm ADV
← David Alan RamosAdvisorregistration: current employment
Dec 3, 2024 to presentfactForm ADV
← SCOTT EDWARD EVERHARTAdvisorregistration: current employment
Nov 5, 2024 to presentfactForm ADV
← WILLIAM DONALD RAMIRESAdvisorregistration: current employment
Jun 11, 2024 to presentfactForm ADV
← STEVEN VINCENT ANDERSONAdvisorregistration: current employment
May 23, 2024 to presentfactForm ADV
← STEVEN GUSTAF CARLSONAdvisorregistration: current employment
Apr 16, 2024 to presentfactForm ADV
← KIMBERLY A VAUGHNAdvisorregistration: current employment
Mar 7, 2024 to presentfactForm ADV
← Eduardo LariosAdvisorregistration: current employment
Sep 8, 2023 to presentfactForm ADV
← DAMIEN JOSEPH MORALESAdvisorregistration: current employment
Feb 3, 2020 to presentfactForm ADV
← JOHN WALTER MARSHALLAdvisorregistration: current employment
Dec 2, 2019 to presentfactForm ADV
← JEFFRE SCOTT REININGERAdvisorregistration: current employment
Sep 25, 2019 to presentfactForm ADV
← WILLIAM DEAN BYRDAdvisorregistration: current employment
Sep 18, 2019 to presentfactForm ADV
← LEONARD DALE WYSSAdvisorregistration: current employment
Sep 8, 2016 to presentfactForm ADV
← ROBERT E NORTHAdvisorregistration: current employment
Apr 8, 2016 to presentfactForm ADV
← MATT DALE MABERRYAdvisorregistration: current employment
Nov 30, 2015 to presentfactForm ADV
← JOHN WAYNE BETTFREUNDAdvisorregistration: current employment
Aug 26, 2014 to presentfactForm ADV
← DOUGLAS BRAD CALLENAdvisorregistration: current employment
Oct 29, 2010 to presentfactForm ADV
← THOMAS PATRICK EVESLAGEAdvisorregistration: current employment
Jul 31, 2008 to presentfactForm ADV
← JONATHAN EDWARD RICKAdvisorregistration: current employment
Dec 17, 2007 to presentfactForm ADV
← BRUCE EDWIN GRAHAMAdvisorregistration: current employment
Sep 25, 2007 to presentfactForm ADV
and 26 more

Affiliated with (1)

→ GRAHAM & CO. ADVISORY, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (4)

← BETTFREUND, JOHN WAYNE JROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 17, 2015 to Dec 18, 2024factForm ADV
← CALLEN, DOUGLAS BRADOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Nov 17, 2015 to Dec 18, 2024factForm ADV
← GRAHAM, BRUCE EDWINOwnerPRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, ownership code E, individual
Nov 17, 2015 to Dec 18, 2024factForm ADV
← GODINEZ, MARIE ELIZABETHOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Nov 17, 2015 to Dec 18, 2024factForm ADV

Moved with (1)

→ MOORS & CABOT, INCRegistered adviser2 advisors, team lift out, same day
Nov 5, 2021 to Nov 5, 2021factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 23, 2026
Regulatory AUM changed
B.B. Graham & Company, Inc. reported RAUM $321.7M, up 64% from $196.1M (2025-11-13 to 2026-03-23)
Form ADVobserved 6 days ago
$126M
Occurred
Jan 14, 2026
Advisor changed firm
Anil Kumar Madhyanam left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2026-01-14)
Form ADVobserved 6 days ago
Occurred
Apr 21, 2025
Advisor changed firm
Larry James Miranda left B.B. Graham & Company, Inc. for Palo Seco Wealth Management (registered 2025-04-22)
Form ADVobserved 6 days ago
Occurred
Nov 27, 2023
Advisor changed firm
Christopher John Coghlan left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2023-11-27)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed
B.B. Graham & Company, Inc. reported RAUM $219.7M, down 32% from $322.0M (2022-07-06 to 2023-03-30)
Form ADVobserved 6 days ago
$-102M
Occurred
Feb 17, 2023
Advisor changed firm
George Nicolas Gopiao left B.B. Graham & Company, Inc. for Miramontes Capital, Llc (registered 2024-01-03)
Form ADVobserved 6 days ago
Occurred
Dec 16, 2022
Team lift-out
2 advisors left B.B. Graham & Company, Inc. (Orange, CA) for LPL Financial LLC on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Dec 16, 2022
Advisor changed firm
Steven Richard Elder left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2022-12-07)
Form ADVobserved 6 days ago
Occurred
Dec 16, 2022
Advisor changed firm
Suzan Elizabeth Elder left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2022-12-07)
Form ADVobserved 6 days ago
Occurred
Mar 22, 2022
Regulatory AUM changed
B.B. Graham & Company, Inc. reported RAUM $322.0M, up 53% from $210.9M (2021-10-11 to 2022-03-22)
Form ADVobserved 6 days ago
$111M
Occurred
Nov 17, 2015
First Form ADV filing
B.B. Graham & Company, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Mar 13, 2020
B.B. Graham & Company, Inc. reported 13 offices beyond its principal office, up from 8 (2019-03-21 to 2020-03-13)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cdb06138-d04a-0c16-bfea-f94f6e1302ae
First observed: Nov 17, 2015
Last observed: Mar 23, 2026 6 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.

B.B. GRAHAM & COMPANY, INC.

CRD 41533

ORANGE, CA

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:cdb06138-d04a-0c16-bfea-f94f6e1302ae

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JONATHAN EDWARD RICK

n/a

LINCOLNSHIRE, IL

yes

THOMAS PATRICK EVESLAGE

n/a

ORANGE, CA | AUSTIN, TX

yes

DOUGLAS BRAD CALLEN

Certified Financial Planner|Chartered Financial Consultant

ORANGE, CA

yes

JOHN WAYNE BETTFREUND

n/a

ORANGE, CA

yes

MATT DALE MABERRY

n/a

ORANGE, CA | Alton, IL

yes

ROBERT E NORTH

n/a

ORANGE, CA | Portland, OR

yes

LEONARD DALE WYSS

n/a

ORANGE, CA

yes

WILLIAM DEAN BYRD

Certified Financial Planner

Tampa, FL | ORANGE, CA

yes

JEFFRE SCOTT REININGER

n/a

ORANGE, CA | Sunriver, OR

yes

JOHN WALTER MARSHALL

n/a

ORANGE, CA | Newport Beach, CA

yes

DAMIEN JOSEPH MORALES

n/a

ORANGE, CA | Honolulu, HI

yes

Eduardo Larios

n/a

ORANGE, CA

yes

STEVEN GUSTAF CARLSON

n/a

FALMOUTH, MA

yes

STEVEN VINCENT ANDERSON

n/a

ORANGE, CA | Orange, CA

yes

WILLIAM DONALD RAMIRES

n/a

Lake Forest, CA | ORANGE, CA

yes

SCOTT EDWARD EVERHART

n/a

ORANGE, CA | Leander, TX

yes

David Alan Ramos

n/a

ORANGE, CA | Clarksville, TN

yes

SHARON KAYE ADAMS

n/a

WARRENVILLE, IL | ORANGE, CA

yes

IRWIN BRUCE SCHEINESON

Chartered Financial Consultant

ORANGE, CA | Sarasota, FL

yes

JOHN BYRON HAMPTON

n/a

ORANGE, CA | Orlando, FL

yes

Leslie Apseloff

n/a

Roswell, GA | ORANGE, CA

n/a

yes

JOHN FRANCIS CONWAY

n/a

ORANGE, CA | DUNMORE, PA

yes

GORDANA SCHIFANELLI

n/a

ORANGE, CA | Stevensville, MD

yes

ROBERT BRYAN FITZPATRICK

n/a

DUNMORE, PA | ORANGE, CA

yes

Jaimie Chan

n/a

ORANGE, CA

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BETTFREUND, JOHN WAYNE JR

CHIEF COMPLIANCE OFFICER

yes

08/2014

Nov 17, 2015

Dec 18, 2024

CALLEN, DOUGLAS BRAD

SENIOR VICE PRESIDENT

yes

10/2010

Nov 17, 2015

Dec 18, 2024

GODINEZ, MARIE ELIZABETH

CHIEF OPERATIONS OFFICER

yes

01/2014

Nov 17, 2015

Dec 18, 2024

GRAHAM, BRUCE EDWIN

PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP

yes

07/1996

Nov 17, 2015

Dec 18, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GRAHAM & CO. ADVISORY, INC.

n/a

State registered

$21.4M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Alton

United States

yes

Lincolnshire

United States

yes

Westfield

United States

OKLAHOMA CITY

United States

yes

Springfield

United States

yes

Austin

United States

yes

n/a

yes

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 23, 2026

$322M

$177M

n/a

2024

Apr 16, 2025

$196M

$49.1M

n/a

2023

Mar 20, 2024

$173M

$37.2M

n/a

2022

Mar 30, 2023

$220M

$38.9M

n/a

2021

Mar 22, 2022

$322M

$50.2M

n/a

2020

Mar 17, 2021

$211M

$37.7M

n/a

2019

Mar 13, 2020

$189M

$38.8M

n/a

2018

Mar 19, 2019

$139M

$26.5M

n/a

2017

Mar 21, 2018

$104M

$23.4M

n/a

2016

Mar 17, 2017

$77.5M

$20.1M

n/a

2015

Mar 24, 2016

$25.7M

$13.1M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

3.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$322M

$196M

64.0%

$220M

13.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Dec 16, 2022

Dec 7, 2022

ORANGE, CA

Team lift out

RIA to RIA

11.8%

MOORS & CABOT, INC

Nov 5, 2021

KEOKUK, IA

Team lift out

RIA to ibd

10.5%