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

B••••• W••••••••• I•••

Former SEC-registered adviserRaleigh, North CarolinaCRD 108103SEC 801-112578IAPD
Latest filing Sep 9, 2020
First filing on the tape Feb 15, 2012 · 12 filings
RAUM
$192M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$192M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 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$168M as of Feb 7, 2020
Feb 16, 2012$36.5M then
HNW client RAUM$59.8M as of Feb 7, 2020
Jan 25, 2019$47.0M then
State-registered IARs (5.B.3)4 as of Feb 7, 2020
Jan 25, 20194 then
Employees (5.A)5 as of Feb 7, 2020
Jan 25, 20196 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Sep 9, 2020; every figure names its basis
RAUM per advisor
$48.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
198derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$242,652derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$39.1M, 133 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$108M56%
  • High-net-worth individuals$83.7M44%
Individual clients
738reported
HNW clients
53reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
791reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$39.1M for 133 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
none on the tape
    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
      • B•••• S•••••• Q••••• · President And Directorcontrol
        since 03/1998 · owns 75% or more
      • H•••• P•••••••• A•• · Chief Compliance Officercontrol
        since 04/2000 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 805 to 791
        Jun 22, 2020 to Sep 9, 2020
      • HNW clients · 38 to 53
        Jun 22, 2020 to Sep 9, 2020
      • Individual clients · 761 to 738
        Jun 22, 2020 to Sep 9, 2020
      • Assets in custody · $37.4M to $39.1M
        Jun 22, 2020 to Sep 9, 2020
      • Discretionary RAUM · $164M to $188M
        Jun 22, 2020 to Sep 9, 2020
      • HNW RAUM · $59.8M to $83.7M
        Jun 22, 2020 to Sep 9, 2020
      • Individual RAUM · $108M to $108M
        Jun 22, 2020 to Sep 9, 2020
      • Non-discretionary RAUM · $3.9M to $3.7M
        Jun 22, 2020 to Sep 9, 2020
      • RAUM · $168M to $192M
        Jun 22, 2020 to Sep 9, 2020
      • Accounts · 725 to 805
        Jan 25, 2019 to Feb 7, 2020
      • HNW clients · 34 to 38
        Jan 25, 2019 to Feb 7, 2020
      • Individual clients · 691 to 761
        Jan 25, 2019 to Feb 7, 2020
      • Assets in custody · $41.1M to $37.4M
        Jan 25, 2019 to Feb 7, 2020
      • Employees · 6 to 5
        Jan 25, 2019 to Feb 7, 2020
      • Financial planning clients · 0 to 1-10
        Jan 25, 2019 to Feb 7, 2020
      • Discretionary RAUM · $134M to $164M
        Jan 25, 2019 to Feb 7, 2020
      • HNW RAUM · $47.0M to $59.8M
        Jan 25, 2019 to Feb 7, 2020
      • Individual RAUM · $91.7M to $108M
        Jan 25, 2019 to Feb 7, 2020
      • Non-discretionary RAUM · $4.6M to $3.9M
        Jan 25, 2019 to Feb 7, 2020
      • Pension RAUM · unset to 0.0
        Jan 25, 2019 to Feb 7, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Jan 25, 2019 to Feb 7, 2020
      • RAUM · $139M to $168M
        Jan 25, 2019 to Feb 7, 2020
      • Accounts · 513 to 725
        Oct 3, 2018 to Jan 25, 2019
      • HNW clients · 19 to 34
        Oct 3, 2018 to Jan 25, 2019
      • Individual clients · 603 to 691
        Oct 3, 2018 to Jan 25, 2019
      • Assets in custody · $33.7M to $41.1M
        Oct 3, 2018 to Jan 25, 2019
      • Discretionary RAUM · $123M to $134M
        Oct 3, 2018 to Jan 25, 2019
      • HNW RAUM · $35.5M to $47.0M
        Oct 3, 2018 to Jan 25, 2019
      • Individual RAUM · $89.3M to $91.7M
        Oct 3, 2018 to Jan 25, 2019
      • Non-discretionary RAUM · $2.1M to $4.6M
        Oct 3, 2018 to Jan 25, 2019
      • RAUM · $125M to $139M
        Oct 3, 2018 to Jan 25, 2019
      • Accounts · 622 to 513
        Apr 16, 2018 to Oct 3, 2018
      • Advisory employees · 3 to 4
        Apr 16, 2018 to Oct 3, 2018
      • Employees · 4 to 6
        Apr 16, 2018 to Oct 3, 2018
      • State-registered IARs · 3 to 4
        Apr 16, 2018 to Oct 3, 2018
      • Accounts · 232 to 622
        Apr 13, 2012 to Feb 6, 2018
      • Advisory employees · unset to 3.0
        Apr 13, 2012 to Feb 6, 2018
      • Advisory activities · 1 to 2
        Apr 13, 2012 to Feb 6, 2018
      • Business name · B••••• I••••••••• M••••••••• I••• to B••••• W••••••••• I•••
        Apr 13, 2012 to Feb 6, 2018
      • Charity clients · unset to 0.0
        Apr 13, 2012 to Feb 6, 2018
      Signals
      1 dated events
      • B••••• W••••••••• I••• filed its initial SEC registration (Form ADV)
        Feb 6, 2018 · First SEC registration · fact
      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