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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SEC-registered adviser
B••••••••• C•••••• M••••••••• C• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 16, 2012 · 16 filings
SEC status approved since Nov 22, 1983
RAUM
$274M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
52%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$274M as of Mar 30, 2026
Mar 16, 2012$238M then
HNW client RAUM$200M as of Mar 21, 2025
Mar 20, 2018$207M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 16, 20120 then
Employees (5.A)1 as of Mar 30, 2026
Mar 15, 20132 then
Private funds: no history
RAUM -15% over the last fiscal year-3.6% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 45%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$142M52%
- Charitable organizations$119M43%
- Corporations and businesses$8.6M3.1%
- Pension and profit-sharing plans$4.3M1.6%
- Individual clients
- 68reported
- HNW clients
- n/areported
- Pension plan clients
- 4reported
- Charitable clients
- 4reported
- Accounts
- 80reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.52 fund_share=0.0 institutional_share=0.45 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 |
|---|---|---|---|---|
| W•••••• H•••••• C••••••• | B•••••••••, Al | Dec 4, 1992 | 42 y | 0 |
| H••••• T••••• S•••• | B•••••••••, Al | Dec 4, 1992 | 42 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• W••••••• H•••••• · Evp/Coo/Clo/Chief Compliance Officercontrolsince 11/1983 · owns 50% to 75%
- S••••• H•••••• T••••• · President/Ceo/Cfocontrolsince 11/1983 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| B•••••••••, Al · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 30, 2026institutional share of RAUM of 45% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 15.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
- business activity changedChange between filings · filing Mar 30, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-21, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 162 to 80Mar 21, 2025 to Mar 30, 2026
- Advisory employees · 2 to 1Mar 21, 2025 to Mar 30, 2026
- Charity clients · 7 to 4Mar 21, 2025 to Mar 30, 2026
- Corporate clients · 2 to 4Mar 21, 2025 to Mar 30, 2026
- HNW clients · 141.0 to unsetMar 21, 2025 to Mar 30, 2026
- Individual clients · 0 to 68Mar 21, 2025 to Mar 30, 2026
- Pension plan clients · 12 to 4Mar 21, 2025 to Mar 30, 2026
- Employees · 2 to 1Mar 21, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 1Mar 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $322M to $274MMar 21, 2025 to Mar 30, 2026
- HNW RAUM · 200236375.0 to unsetMar 21, 2025 to Mar 30, 2026
- Individual RAUM · $0 to $142MMar 21, 2025 to Mar 30, 2026
- Pension RAUM · $24.6M to $4.3MMar 21, 2025 to Mar 30, 2026
- RAUM · $322M to $274MMar 21, 2025 to Mar 30, 2026
- Wrap assets (manager) · 8991598.0 to unsetMar 21, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 21, 2025 to Mar 30, 2026
- Accounts · 179 to 162Mar 26, 2024 to Mar 21, 2025
- Charity clients · 5 to 7Mar 26, 2024 to Mar 21, 2025
- HNW clients · 159 to 141Mar 26, 2024 to Mar 21, 2025
- Pension plan clients · 13 to 12Mar 26, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $297M to $322MMar 26, 2024 to Mar 21, 2025
- HNW RAUM · $183M to $200MMar 26, 2024 to Mar 21, 2025
- Pension RAUM · $26.1M to $24.6MMar 26, 2024 to Mar 21, 2025
- RAUM · $297M to $322MMar 26, 2024 to Mar 21, 2025
- Accounts · 184 to 179Mar 20, 2023 to Mar 26, 2024
- Charity clients · 9 to 5Mar 20, 2023 to Mar 26, 2024
- Pension plan clients · 14 to 13Mar 20, 2023 to Mar 26, 2024
- Discretionary RAUM · $306M to $297MMar 20, 2023 to Mar 26, 2024
- HNW RAUM · $182M to $183MMar 20, 2023 to Mar 26, 2024
- Pension RAUM · $24.4M to $26.1MMar 20, 2023 to Mar 26, 2024
- RAUM · $306M to $297MMar 20, 2023 to Mar 26, 2024
- Wrap assets (manager) · $9.2M to $9.0MMar 20, 2023 to Mar 26, 2024
- Accounts · 190 to 184Mar 16, 2022 to Mar 20, 2023
- Charity clients · 8 to 9Mar 16, 2022 to Mar 20, 2023
- HNW clients · 195 to 159Mar 16, 2022 to Mar 20, 2023
- Pension plan clients · 0 to 14Mar 16, 2022 to Mar 20, 2023
- Discretionary RAUM · $321M to $306MMar 16, 2022 to Mar 20, 2023
- HNW RAUM · $226M to $182MMar 16, 2022 to Mar 20, 2023
- Pension RAUM · $0 to $24.4MMar 16, 2022 to Mar 20, 2023
Signals
No event on the tape.
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
- Principal office phone
- 205-967-7062reportedpublic record, Form ADV, Mar 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026