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.

Former SEC-registered adviser

Ferrell Wealth Management Inc.

Former SEC-registered adviserWinter Park, FloridaCRD 106245SEC 801-51822IAPD
Latest filing Mar 31, 2020
First filing on the tape Mar 22, 2012 · 12 filings
RAUM
$546M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$546M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$546M as of Mar 31, 2020
Mar 22, 2012$226M then
HNW client RAUM$459M as of Mar 31, 2020
Mar 30, 2018$311M then
State-registered IARs (5.B.3)5 as of Mar 31, 2020
Mar 22, 20120 then
Employees (5.A)8 as of Mar 31, 2020
Apr 1, 20138 then
Private funds: no history
RAUM +38% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2020; every figure names its basis
RAUM per advisor
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
83derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$305,882derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+38%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$269, 350 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$459M84%
  • Individuals$87.0M16%
Individual clients
287reported
HNW clients
128reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,785reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$269 for 350 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • William James Ferrell · Presidentcontrol
      since 02/1996 · owns 75% or more
    • Simmons Crystal Garner · Vice Presidentcontrol
      since 11/1996 · owns less than 5%
    • Espy Elaine Kirchner · Chief Compliance Officer
      since 03/2011 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Ferrell & Kelly, LLC
      insurancen
    • Ferrell Realty, Inc.
      investment companyn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,630 to 1,785
      Nov 25, 2019 to Mar 31, 2020
    • HNW clients · 100 to 128
      Nov 25, 2019 to Mar 31, 2020
    • Individual clients · 291 to 287
      Nov 25, 2019 to Mar 31, 2020
    • Discretionary RAUM · $376M to $519M
      Nov 25, 2019 to Mar 31, 2020
    • HNW RAUM · $333M to $459M
      Nov 25, 2019 to Mar 31, 2020
    • Individual RAUM · $64.0M to $87.0M
      Nov 25, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $21.0M to $27.0M
      Nov 25, 2019 to Mar 31, 2020
    • RAUM · $397M to $546M
      Nov 25, 2019 to Mar 31, 2020
    • Commission compensation · true to false
      Mar 30, 2019 to Nov 25, 2019
    • Accounts · 1,307 to 1,630
      Mar 30, 2018 to Mar 30, 2019
    • Advisory activities · 5 to 4
      Mar 30, 2018 to Mar 30, 2019
    • Charity clients · unset to 0.0
      Mar 30, 2018 to Mar 30, 2019
    • Corporate clients · unset to 0.0
      Mar 30, 2018 to Mar 30, 2019
    • HNW clients · 99 to 100
      Mar 30, 2018 to Mar 30, 2019
    • Individual clients · 225 to 291
      Mar 30, 2018 to Mar 30, 2019
    • Pension plan clients · unset to 0.0
      Mar 30, 2018 to Mar 30, 2019
    • Pooled vehicle clients · unset to 0.0
      Mar 30, 2018 to Mar 30, 2019
    • Assets in custody · $296M to $269
      Mar 30, 2018 to Mar 30, 2019
    • Discretionary RAUM · $366M to $376M
      Mar 30, 2018 to Mar 30, 2019
    • HNW RAUM · $311M to $333M
      Mar 30, 2018 to Mar 30, 2019
    • Individual RAUM · $77.0M to $64.0M
      Mar 30, 2018 to Mar 30, 2019
    • Non-discretionary RAUM · $22.0M to $21.0M
      Mar 30, 2018 to Mar 30, 2019
    • Pension RAUM · unset to 0.0
      Mar 30, 2018 to Mar 30, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Mar 30, 2018 to Mar 30, 2019
    • RAUM · $388M to $397M
      Mar 30, 2018 to Mar 30, 2019
    • Accounts · 1,430 to 1,307
      Apr 1, 2017 to Mar 30, 2018
    • Advisory activities · 6 to 5
      Apr 1, 2017 to Mar 30, 2018
    • HNW clients · unset to 99.0
      Apr 1, 2017 to Mar 30, 2018
    • Individual clients · unset to 225.0
      Apr 1, 2017 to Mar 30, 2018
    • Assets in custody · $395M to $296M
      Apr 1, 2017 to Mar 30, 2018
    • Financial planning clients · 101-250 to 251-500
      Apr 1, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Apr 1, 2017 to Mar 30, 2018
    • Discretionary RAUM · $394M to $366M
      Apr 1, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 311000000.0
      Apr 1, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 77000000.0
      Apr 1, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $1.0M to $22.0M
      Apr 1, 2017 to Mar 30, 2018
    • RAUM · $395M to $388M
      Apr 1, 2017 to Mar 30, 2018
    • Accounts · 1,100 to 1,430
      May 3, 2016 to Apr 1, 2017
    • Advisory activities · 5 to 6
      May 3, 2016 to Apr 1, 2017
    • Assets in custody · unset to 395000000.0
      May 3, 2016 to Apr 1, 2017
    Signals
    1 dated events
    • Ferrell Wealth Management Inc. reported RAUM $546.0M, up 38% from $397.0M (2019-11-25 to 2020-03-31)
      Mar 31, 2020 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026