DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Bernzott Capital Advisors
Legal name Bernzott Capital Advisors
Latest filing Apr 20, 2026
First filing on the tape Nov 8, 2011 · 41 filings
SEC status approved since Oct 29, 1999
RAUM
$265M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
74%
$196M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$88.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$265M as of Apr 20, 2026
Mar 26, 2012$346M then
HNW client RAUM$190M as of Apr 20, 2026
Mar 30, 2018$214M then
State-registered IARs (5.B.3)1 as of Apr 20, 2026
Apr 1, 20130 then
Employees (5.A)3 as of Apr 20, 2026
Apr 1, 20138 then
Private funds: no history
RAUM -6.9% over the last fiscal year-27% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $88.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $653,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -29%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $53.0M, 25 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$190M71%
- Corporations and businesses$32.5M12%
- Charitable organizations$25.7M9.7%
- Individuals$6.2M2.3%
- Pension and profit-sharing plans$6.0M2.3%
- Other investment advisers$5.2M2.0%
- Individual clients
- 39reported
- HNW clients
- 145reported
- Pension plan clients
- 6reported
- Charitable clients
- 9reported
- Accounts
- 406reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.0M for 25 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.74 fund_share=0.02 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Bernzott | Camarillo, Ca | Feb 20, 2020 | 32 y | 0 |
| Mark Alexander Scott | Camarillo, Ca | Jan 2, 2025 | 13 y | 0 |
| Curtis Joel Deboni | Camarillo, Ca | May 18, 2026 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Patrick Alexander Fischoeder to Anchor Capital Advisors LLCOct 30, 2023 · RIA to RIA
- Peter Eugene Girolamo to Retirement Wealth Center IncOct 30, 2017 · Other
- Brent Lee Honea to Lucia Capital GroupDec 16, 2011 · Other
- Stephen Richard Soper to Td Ameritrade Investment Management, LLCDec 17, 2007 · Other
Joined, latest
- Patrick Alexander Fischoeder from Morgan StanleyMar 16, 2021 · Wirehouse to independent RIA
- Peter Eugene Girolamo from Retirement Wealth Center IncJan 7, 2015 · Other
- Brent Lee Honea from Strategic Advisers LLCNov 2, 2011 · Other
- Stephen Richard Soper from Wells Fargo Investments, LLCAug 15, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kevin Bernzott · Foundercontrolsince 09/1997 · owns 25% to 50%
- Alexander Mark Scott · Chief Compliance Officer/Chief Executive Officercontrolsince 08/2023 · owns less than 5%
- Stevens Marilyn Bernzott · Shareholdersince 09/2005 · owns 10% to 25%
- Jeffrey Karansky · Director, Officersince 12/2023 · owns less than 5%
- Ann Priscilla Simon · Director, Officer, Treasurersince 12/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Camarillo, Ca · principal | 3 | 1 | 0 | ||
| Hingham, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 20, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $285,196,781 to $265,385,563, advisors 1 to 1, private clients 259 to 184, offices 0 to 0 (2025-04-28 to 2026-04-20)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 377 to 406Apr 28, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Apr 28, 2025 to Mar 31, 2026
- Charity clients · 8 to 9Apr 28, 2025 to Mar 31, 2026
- Corporate clients · 2 to 14Apr 28, 2025 to Mar 31, 2026
- HNW clients · 180 to 145Apr 28, 2025 to Mar 31, 2026
- Individual clients · 79 to 39Apr 28, 2025 to Mar 31, 2026
- Pension plan clients · 8 to 6Apr 28, 2025 to Mar 31, 2026
- Assets in custody · $0 to $53.0MApr 28, 2025 to Mar 31, 2026
- Custody of client assets · false to trueApr 28, 2025 to Mar 31, 2026
- Employees · 4 to 3Apr 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $279M to $260MApr 28, 2025 to Mar 31, 2026
- HNW RAUM · $218M to $190MApr 28, 2025 to Mar 31, 2026
- Individual RAUM · $17.2M to $6.2MApr 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $6.0M to $5.2MApr 28, 2025 to Mar 31, 2026
- Pension RAUM · $15.8M to $6.0MApr 28, 2025 to Mar 31, 2026
- RAUM · $285M to $265MApr 28, 2025 to Mar 31, 2026
- Accounts · 375 to 377Apr 11, 2024 to Apr 28, 2025
- Advisory activities · 3 to 2Apr 11, 2024 to Apr 28, 2025
- Charity clients · 9 to 8Apr 11, 2024 to Apr 28, 2025
- HNW clients · 50 to 180Apr 11, 2024 to Apr 28, 2025
- Individual clients · 113 to 79Apr 11, 2024 to Apr 28, 2025
- Financial planning clients · unset to Apr 11, 2024 to Apr 28, 2025
- Discretionary RAUM · $311M to $279MApr 11, 2024 to Apr 28, 2025
- HNW RAUM · $131M to $218MApr 11, 2024 to Apr 28, 2025
- Individual RAUM · $70.2M to $17.2MApr 11, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $0 to $6.0MApr 11, 2024 to Apr 28, 2025
- Pension RAUM · $16.8M to $15.8MApr 11, 2024 to Apr 28, 2025
- RAUM · $311M to $285MApr 11, 2024 to Apr 28, 2025
- Accounts · 436 to 375Jan 17, 2024 to Mar 25, 2024
- Charity clients · 1 to 9Jan 17, 2024 to Mar 25, 2024
- Corporate clients · 7 to 2Jan 17, 2024 to Mar 25, 2024
- HNW clients · 51 to 50Jan 17, 2024 to Mar 25, 2024
- Pension plan clients · 2 to 8Jan 17, 2024 to Mar 25, 2024
- Assets in custody · $50.0M to $0Jan 17, 2024 to Mar 25, 2024
- Employees · 5 to 4Jan 17, 2024 to Mar 25, 2024
- State-registered IARs · 2 to 1Jan 17, 2024 to Mar 25, 2024
- Discretionary RAUM · $682M to $311MJan 17, 2024 to Mar 25, 2024
- HNW RAUM · $123M to $131MJan 17, 2024 to Mar 25, 2024
- Individual RAUM · $145M to $70.2MJan 17, 2024 to Mar 25, 2024
- Pension RAUM · $73.9M to $16.8MJan 17, 2024 to Mar 25, 2024
Signals
16 dated events
- Bernzott Capital Advisors reported RAUM $311.1M, down 54% from $682.0M (2024-01-17 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Patrick Alexander Fischoeder left Bernzott Capital Advisors for Anchor Capital Advisors Llc (registered 2024-03-06)Oct 30, 2023 · Advisor changed firm · fact
- Alexander Mark Scott (Chief Compliance Officer) appeared on Schedule A of Bernzott Capital AdvisorsAug 23, 2023 · Control person joined · fact
- Robert Jeffrey Gates (Cco) no longer on Schedule A of Bernzott Capital Advisors (listed 2023-03-28, absent 2023-08-23)Aug 23, 2023 · Control person left · inference
- Michael Sean Greely (Managing Director) no longer on Schedule A of Bernzott Capital Advisors (listed 2023-03-28, absent 2023-08-23)Aug 23, 2023 · Control person left · inference
- Bernzott Capital Advisors reported RAUM $682.0M, down 45% from $1.2B (2022-11-23 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Michael Sean Greely (Managing Director) appeared on Schedule A of Bernzott Capital AdvisorsMar 28, 2023 · Control person joined · fact
- Ann Priscilla Simon (Cfo) no longer on Schedule A of Bernzott Capital Advisors (listed 2022-11-23, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Thomas Hans Walsh (Cco) no longer on Schedule A of Bernzott Capital Advisors (listed 2022-03-31, absent 2022-11-23)Nov 23, 2022 · Control person left · inference
- Robert Jeffrey Gates (Cco) appeared on Schedule A of Bernzott Capital AdvisorsNov 23, 2022 · Control person joined · fact
- Anthony Thomas Derse (President) no longer on Schedule A of Bernzott Capital Advisors (listed 2020-06-26, absent 2020-11-16)Nov 16, 2020 · Control person left · inference
- Thomas Scott Larson (Vice President & Cio) no longer on Schedule A of Bernzott Capital Advisors (listed 2020-06-26, absent 2020-11-16)Nov 16, 2020 · Control person left · inference
- Bernzott Capital Advisors reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 2, 2020 · Succession (Item 4) · fact
- Bernzott Capital Advisors reported RAUM $1.0B, up 32% from $793.8M (2019-03-30 to 2020-03-02)Mar 2, 2020 · RAUM change · derived
- Ann Priscilla Simon (Cfo) appeared on Schedule A of Bernzott Capital AdvisorsMar 2, 2020 · Control person joined · fact
- Bernzott Capital Advisors reported RAUM $854.4M, up 30% from $655.3M (2017-05-17 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@bernzott.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jeff@bernzott.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- priscilla@bernzott.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-856-2646reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- BERNZOTT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-856-2646reportedpublic record, Form ADV, Apr 20, 2026
- Team page
- bernzott.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $88.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026