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.
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Former SEC-registered adviser
F•••••••• F•••••••• S••••••• W••••• M•••••••••
Legal name F•••••••• F•••••••• S••••••• O• T•• S•••••••• I••
Latest filing Sep 27, 2019
First filing on the tape Mar 30, 2012 · 30 filings
RAUM
$405M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$372M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$405M as of Sep 27, 2019
Mar 30, 2012$296M then
HNW client RAUM$102M as of Sep 27, 2019
Sep 27, 2018$74.5M then
State-registered IARs (5.B.3)4 as of Sep 27, 2019
Mar 30, 20120 then
Employees (5.A)9 as of Sep 27, 2019
Mar 28, 201312 then
Private funds: no history
RAUM +7.1% over the last fiscal year+3.6% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 27, 2019; every figure names its basis
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $542,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $319MreportedItem 5.I
- Custody
- $26.3M, 19 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- 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 cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$270M67%
- High-net-worth individuals$102M25%
- State and municipal entities$19.0M4.7%
- Pension and profit-sharing plans$12.5M3.1%
- Charitable organizations$1.8M0.4%
- Corporations and businesses$3,0880.0%
- Individual clients
- 318reported
- HNW clients
- 23reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 747reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $26.3M for 19 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- R•••••• A••• W••••• to B• R•••• W••••• M•••••••••Nov 18, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• J••• G••••• to B• R•••• W••••• M•••••••••Nov 18, 2020 · RIA to affiliated broker-dealer or bank
- R•••••• A•••••• L••• to C•••••••• G••••• M•••••• I•••Feb 20, 2007 · Other
Joined, latest
- M•••••• J••• G••••• from V••• C•••••• R••• L•Feb 11, 2014 · Other
- R•••••• A•••••• L••• from B••• O• A•••••• I••••••••• S•••••••• I•••May 12, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B• R•••• W••••• M•••••••••Nov 18, 2020 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••••• J••••• · Directorcontrolsince 05/2015 · owns less than 5%
- G•••••• M••••••• J••• · Chief Operating Officer/ Portfolio Managercontrolsince 05/2018 · owns less than 5%
- W••••• P•••• H•••• · Director/Ciocontrolsince 04/1990 · owns less than 5%
- C••••• J•••••• R••••• · Chief Compliance Officersince 02/2019 · owns less than 5%
Entity owners
- B• R•••• W••••• M••••••••• H•••••••• I••• · Shareholderdirect · owns 75% or more
- B• R•••• F••••••••• I••• · Parentindirect · owns 75% or more of B• R•••• W••••• M••••••••• H•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- B• R•••• W••••• M•••••••••broker-dealerinvestment advisernRAUM $4.1B
- B• R•••• • C••• L••broker-dealern
- B. R•••• Capital Managementinvestment adviserbanknRAUM $200M
- B• R•••• F••• I•••broker-dealern
- M•• • C•• L••broker-dealern
- W••••••••• C•••••• M•••••••••investment advisernRAUM $231M
- W••••••••• I•••••••• A••••• O• T••••• I•••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 753 to 747Jul 9, 2019 to Sep 27, 2019
- HNW clients · 11 to 23Jul 9, 2019 to Sep 27, 2019
- Individual clients · 328 to 318Jul 9, 2019 to Sep 27, 2019
- Discretionary RAUM · $377M to $404MJul 9, 2019 to Sep 27, 2019
- HNW RAUM · $74.5M to $102MJul 9, 2019 to Sep 27, 2019
- Individual RAUM · $273M to $270MJul 9, 2019 to Sep 27, 2019
- Non-discretionary RAUM · $997,359 to $1.4MJul 9, 2019 to Sep 27, 2019
- Pension RAUM · $11.4M to $12.5MJul 9, 2019 to Sep 27, 2019
- RAUM · $378M to $405MJul 9, 2019 to Sep 27, 2019
- Accounts · 766 to 753Mar 27, 2018 to Sep 27, 2018
- Charity clients · unset to 2.0Mar 27, 2018 to Sep 27, 2018
- Corporate clients · unset to 1.0Mar 27, 2018 to Sep 27, 2018
- HNW clients · unset to 11.0Mar 27, 2018 to Sep 27, 2018
- Individual clients · unset to 328.0Mar 27, 2018 to Sep 27, 2018
- Pension plan clients · unset to 4.0Mar 27, 2018 to Sep 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 27, 2018 to Sep 27, 2018
- Assets in custody · unset to 26290193.0Mar 27, 2018 to Sep 27, 2018
- Custody of client assets · false to trueMar 27, 2018 to Sep 27, 2018
- Employees · 11 to 9Mar 27, 2018 to Sep 27, 2018
- Discretionary RAUM · $369M to $377MMar 27, 2018 to Sep 27, 2018
- HNW RAUM · unset to 74518790.0Mar 27, 2018 to Sep 27, 2018
- Individual RAUM · unset to 272580811.0Mar 27, 2018 to Sep 27, 2018
- Non-discretionary RAUM · $382,518 to $997,359Mar 27, 2018 to Sep 27, 2018
- Pension RAUM · unset to 11416702.0Mar 27, 2018 to Sep 27, 2018
- RAUM · $370M to $378MMar 27, 2018 to Sep 27, 2018
- Other offices · unset to 1.0Sep 28, 2017 to Jan 16, 2018
- Wrap assets (manager) · unset to 0.0Sep 28, 2017 to Jan 16, 2018
- Wrap assets (sponsor) · unset to 0.0Sep 28, 2017 to Jan 16, 2018
- Accounts · 741 to 766May 31, 2017 to Aug 4, 2017
- BD registered reps · 0 to 1May 31, 2017 to Aug 4, 2017
- Employees · 10 to 11May 31, 2017 to Aug 4, 2017
- Discretionary RAUM · $351M to $369MMay 31, 2017 to Aug 4, 2017
- Non-discretionary RAUM · $12.6M to $382,518May 31, 2017 to Aug 4, 2017
- RAUM · $364M to $370MMay 31, 2017 to Aug 4, 2017
- Related bank · false to trueMay 31, 2017 to Aug 4, 2017
- Accounts · 750 to 741Jul 5, 2016 to Sep 28, 2016
- Advisory employees · 5 to 4Jul 5, 2016 to Sep 28, 2016
- Advisory activities · 4 to 3Jul 5, 2016 to Sep 28, 2016
- Discretionary RAUM · $336M to $351MJul 5, 2016 to Sep 28, 2016
- Non-discretionary RAUM · $13.0M to $12.6MJul 5, 2016 to Sep 28, 2016
Signals
2 dated events
- Anthony James Parrish (Director) no longer on Schedule A of F•••••••• F•••••••• S••••••• W••••• M••••••••• (listed 2019-07-09, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- Blake Nolan Hughes (Chief Compliance Officer) no longer on Schedule A of F•••••••• F•••••••• S••••••• W••••• M••••••••• (listed 2018-09-27, absent 2019-03-21)Mar 21, 2019 · Control person left · inference
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