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B••• W••••• A•••••••
Independent wealth manager, based in B••• Raton, Florida, reporting $379M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $379M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +14%
- Private clients
- 90% of RAUM, $340M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 108038 · SEC 801-56858 · 19 filingsShowHide
CRD 108038SEC 801-56858Legal name B••• W••••• A•••••••• L••First filing on the tape Jan 27, 2012, latest Jan 30, 2026SEC status approved since Sep 22, 1999IAPD
RAUM
$379M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$340M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$189M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$379M as of Jan 30, 2026
Jan 27, 2012$133M then
HNW client RAUM$310M as of Jan 30, 2026
Feb 6, 2018$162M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Jan 27, 20120 then
Employees (5.A)2 as of Jan 30, 2026
Jan 30, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $189MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $736,518derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$310M82%
- Individuals$30.0M7.9%
- Charitable organizations$24.9M6.6%
- Pension and profit-sharing plans$13.5M3.6%
- Individual clients
- 66reported
- HNW clients
- 87reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 514reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• C•••••Certified Financial Planner | B••• Raton, Fl | Feb 2, 1999 | 41 y | 0 |
| A•••••••• B•••••• D•••••••••Certified Financial Planner | B••• Raton, Fl | Dec 21, 2011 | 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 headcount0 left over 36 months
Left, latest
- R••••• K•••• W••••• to W••••• R•••• C••• P•••Nov 11, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• A••••• · Presidentcontrolsince 11/1998 · owns 75% or more
- M••••••• M•••• D•••• · Vice Presidentcontrolsince 07/2010 · owns 10% to 25%
- D••••••••• A••••••••• B•••••• · Secretarysince 01/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
- A•••••••• B• D•••••••••insurancey
- A••••• J• C•••••insurancey
- M••• D• M••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| B••• Raton, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 498 to 514Dec 8, 2025 to Jan 30, 2026
- Advisory employees · 3 to 2Dec 8, 2025 to Jan 30, 2026
- HNW clients · 83 to 87Dec 8, 2025 to Jan 30, 2026
- Individual clients · 68 to 66Dec 8, 2025 to Jan 30, 2026
- Pension plan clients · 5 to 4Dec 8, 2025 to Jan 30, 2026
- Employees · 3 to 2Dec 8, 2025 to Jan 30, 2026
- State-registered IARs · 3 to 2Dec 8, 2025 to Jan 30, 2026
- Other offices · 1 to 0Dec 8, 2025 to Jan 30, 2026
- Discretionary RAUM · $333M to $379MDec 8, 2025 to Jan 30, 2026
- HNW RAUM · $270M to $310MDec 8, 2025 to Jan 30, 2026
- Individual RAUM · $29.4M to $30.0MDec 8, 2025 to Jan 30, 2026
- Pension RAUM · $11.5M to $13.5MDec 8, 2025 to Jan 30, 2026
- RAUM · $333M to $379MDec 8, 2025 to Jan 30, 2026
- Accounts · 497 to 498Dec 4, 2024 to Jan 31, 2025
- Business name · I••••••••• A••••••• P••••••••• L•• to B••• W••••• A•••••••Dec 4, 2024 to Jan 31, 2025
- HNW clients · 81 to 83Dec 4, 2024 to Jan 31, 2025
- Individual clients · 72 to 68Dec 4, 2024 to Jan 31, 2025
- Financial planning clients · 26-50 to 26-50Dec 4, 2024 to Jan 31, 2025
- Legal name · I••••••••• A••••••• P••••••••• L•• to B••• W••••• A•••••••• L••Dec 4, 2024 to Jan 31, 2025
- Discretionary RAUM · $348M to $333MDec 4, 2024 to Jan 31, 2025
- HNW RAUM · $281M to $270MDec 4, 2024 to Jan 31, 2025
- Individual RAUM · $31.6M to $29.4MDec 4, 2024 to Jan 31, 2025
- Pension RAUM · $11.9M to $11.5MDec 4, 2024 to Jan 31, 2025
- RAUM · $348M to $333MDec 4, 2024 to Jan 31, 2025
- Accounts · 482 to 497Jan 31, 2024 to Dec 4, 2024
- HNW clients · 75 to 81Jan 31, 2024 to Dec 4, 2024
- Individual clients · 71 to 72Jan 31, 2024 to Dec 4, 2024
- Financial planning clients · 11-25 to 26-50Jan 31, 2024 to Dec 4, 2024
- Discretionary RAUM · $275M to $348MJan 31, 2024 to Dec 4, 2024
- HNW RAUM · $214M to $281MJan 31, 2024 to Dec 4, 2024
- Individual RAUM · $27.8M to $31.6MJan 31, 2024 to Dec 4, 2024
- Pension RAUM · $11.3M to $11.9MJan 31, 2024 to Dec 4, 2024
- RAUM · $275M to $348MJan 31, 2024 to Dec 4, 2024
- Accounts · 453 to 482Jan 27, 2023 to Jan 31, 2024
- HNW clients · 74 to 75Jan 27, 2023 to Jan 31, 2024
- Individual clients · 69 to 71Jan 27, 2023 to Jan 31, 2024
- Discretionary RAUM · $260M to $275MJan 27, 2023 to Jan 31, 2024
- HNW RAUM · $205M to $214MJan 27, 2023 to Jan 31, 2024
- Individual RAUM · $24.5M to $27.8MJan 27, 2023 to Jan 31, 2024
- Pension RAUM · $9.7M to $11.3MJan 27, 2023 to Jan 31, 2024
Signals
3 dated events
- ••• LockedJan 30, 2026 · ria principal change · derived
- ••• LockedJan 30, 2026 · ria ownership band change · fact
- ••• LockedJan 30, 2026 · 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.
How to reach
public business contact points only, each with its source
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 30, 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
- $189Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026