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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B•• F•••••••• A•••••••
Legal name B••••••• • C•••• F•••••••• S••••••• I••
Latest filing Jan 30, 2026
First filing on the tape Feb 9, 2012 · 29 filings
SEC status approved since May 13, 1998
RAUM
$626M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$602M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$69.6M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$626M as of Jan 30, 2026
Feb 9, 2012$156M then
HNW client RAUM$470M as of Jan 30, 2026
Mar 5, 2018$179M then
State-registered IARs (5.B.3)9 as of Jan 30, 2026
Feb 9, 20120 then
Employees (5.A)12 as of Jan 30, 2026
Jan 28, 20139 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 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
- RAUM per advisor
- $69.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $470,330derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $16.0M, 20 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
- High-net-worth individuals$470M75%
- Individuals$132M21%
- Corporations and businesses$22.5M3.6%
- Charitable organizations$1.0M0.2%
- Pension and profit-sharing plans$605,5160.1%
- Individual clients
- 392reported
- HNW clients
- 146reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,331reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.0M for 20 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• A•••••• C••••Certified Financial Planner | Ponte Vedra Beach, Fl | Apr 29, 1997 | 43 y | 0 |
| T••••• L•••••• E•••• | Ponte Vedra Beach, Fl | Jan 18, 2011 | 24 y | 0 |
| A••• T••••• O••••••Certified Financial Planner | Ponte Vedra Beach, Fl | Oct 24, 2012 | 14 y | 0 |
| J••••••••• A•• B•• | Ponte Vedra Beach, Fl | Nov 20, 2012 | 32 y | 0 |
| S••• R••••• G••••Certified Financial Planner | Ponte Vedra Beach, Fl | May 9, 2013 | 16 y | 1 |
| J•••••• L•• A•••• | Ponte Vedra Beach, Fl | Mar 17, 2017 | 10 y | 0 |
| J••••••• B••••••Certified Financial Planner | Ponte Vedra Beach, Fl | Sep 7, 2022 | 15 y | 0 |
| K••••• A•• K••••••• | Ponte Vedra Beach, Fl | May 1, 2024 | 12 y | 0 |
| A••••• R•••• N••••••••Certified Financial Planner | Ponte Vedra Beach, Fl | Oct 8, 2024 | 10 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
- A••• M•••••• H••••• to B••••••••• G•••• • A•••••••••Feb 15, 2023 · RIA to RIA
- I•• M••••••• A•••••• to M••••• M•••• M••••••••• L••May 13, 2019 · Other
- J••• C••••• M••••• to D•••• C•••••• M•••••••••Apr 20, 2016 · Other
- E••• A•••••• R••• to M•••••• F••••••••Apr 1, 2014 · Other
Joined, latest
- I•• M••••••• A•••••• from C•••••• A•••••••Feb 7, 2019 · Affiliated broker-dealer or bank to independent RIA
- A••• M•••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 12, 2016 · Other
- E••• A•••••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 9, 2013 · Other
- S••• R••••• G•••• from N•••••• G•••• S••••••••• I•••May 9, 2013 · Other
- J••• C••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 1, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••• J••••••••• A•• · Chief Compliance Officer And Vice Presidentcontrolsince 01/2009 · owns 25% to 50%
- C••••• A••••• A•••••• · President/Ceocontrolsince 11/2018 · owns 10% to 25%
- E••••• T•••••• L•••••• · Vice Presidentcontrolsince 11/2017 · owns 25% to 50%
- G••••• S•••• •••• · Chief Investment Officercontrolsince 01/2018 · owns 10% to 25%
- O••••••• A•••• T••••• · Vice Presidentcontrolsince 01/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Ponte Vedra Beach, Fl · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,257 to 1,331Oct 24, 2025 to Jan 30, 2026
- Advisory employees · 6 to 5Oct 24, 2025 to Jan 30, 2026
- HNW clients · 127 to 146Oct 24, 2025 to Jan 30, 2026
- Individual clients · 387 to 392Oct 24, 2025 to Jan 30, 2026
- Assets in custody · $14.1M to $16.0MOct 24, 2025 to Jan 30, 2026
- Discretionary RAUM · $536M to $614MOct 24, 2025 to Jan 30, 2026
- HNW RAUM · $397M to $470MOct 24, 2025 to Jan 30, 2026
- Individual RAUM · $129M to $132MOct 24, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $10.7M to $12.1MOct 24, 2025 to Jan 30, 2026
- Pension RAUM · $515,437 to $605,516Oct 24, 2025 to Jan 30, 2026
- RAUM · $546M to $626MOct 24, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 0Feb 25, 2025 to Oct 24, 2025
- Accounts · 1,187 to 1,257Mar 6, 2024 to Feb 25, 2025
- Advisory employees · 5 to 6Mar 6, 2024 to Feb 25, 2025
- HNW clients · 112 to 127Mar 6, 2024 to Feb 25, 2025
- Individual clients · 378 to 387Mar 6, 2024 to Feb 25, 2025
- Assets in custody · $13.9M to $14.1MMar 6, 2024 to Feb 25, 2025
- Employees · 10 to 12Mar 6, 2024 to Feb 25, 2025
- State-registered IARs · 7 to 9Mar 6, 2024 to Feb 25, 2025
- Discretionary RAUM · $494M to $536MMar 6, 2024 to Feb 25, 2025
- HNW RAUM · $354M to $397MMar 6, 2024 to Feb 25, 2025
- Individual RAUM · $127M to $129MMar 6, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $8.5M to $10.7MMar 6, 2024 to Feb 25, 2025
- Pension RAUM · $472,476 to $515,437Mar 6, 2024 to Feb 25, 2025
- RAUM · $503M to $546MMar 6, 2024 to Feb 25, 2025
- Accounts · 1,142 to 1,187Jan 31, 2023 to Feb 7, 2024
- Advisory employees · 6 to 5Jan 31, 2023 to Feb 7, 2024
- Corporate clients · unset to 5.0Jan 31, 2023 to Feb 7, 2024
- HNW clients · 109 to 112Jan 31, 2023 to Feb 7, 2024
- Individual clients · 374 to 378Jan 31, 2023 to Feb 7, 2024
- Assets in custody · $22.4M to $13.9MJan 31, 2023 to Feb 7, 2024
- Employees · 11 to 10Jan 31, 2023 to Feb 7, 2024
- State-registered IARs · 8 to 7Jan 31, 2023 to Feb 7, 2024
- Discretionary RAUM · $455M to $494MJan 31, 2023 to Feb 7, 2024
- HNW RAUM · $326M to $354MJan 31, 2023 to Feb 7, 2024
- Individual RAUM · $116M to $127MJan 31, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $7.6M to $8.5MJan 31, 2023 to Feb 7, 2024
- Pension RAUM · $420,703 to $472,476Jan 31, 2023 to Feb 7, 2024
- RAUM · $462M to $503MJan 31, 2023 to Feb 7, 2024
- Accounts · 1,109 to 1,142Sep 15, 2022 to Jan 31, 2023
Signals
2 dated events
- A••• M•••••• H••••• left B•• F•••••••• A••••••• for B••••••••• G•••• • A••••••••• (registered 2023-03-06)Feb 15, 2023 · Advisor changed firm · fact
- Thomas Adam Oerther (Vice President) appeared on Schedule A of B•• F•••••••• A•••••••Feb 2, 2021 · Control person joined · fact
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 phone
- 800-893-2324reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 904-273-6920reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 904-273-9850reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/B•••••••-&-C••••-FINANCIAL-S•••••••-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- B•••••••C••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 904-273-9850reportedpublic record, Form ADV, Jan 30, 2026
- Contact form
- bandcfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bandcfinancial.com/who-we-are/about-usreportedpublished by the firm, firm site, Sep 15, 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
- $69.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026