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
A••• C•••••• M••••••••• L•••••
Latest filing Mar 20, 2026
First filing on the tape Mar 13, 2012 · 9 filings
SEC status approved since Jul 15, 2022
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$200M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.3M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$225M as of Mar 20, 2026
Mar 27, 2012$59.9M then
HNW client RAUM$154M as of Mar 20, 2026
Mar 28, 2023$122M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 28, 20234 then
Employees (5.A)7 as of Mar 20, 2026
Mar 28, 202311 then
Private funds: no history
RAUM +4.0% over the last fiscal year+9.8% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 20, 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
- RAUM per advisor
- $56.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $368,561derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M68%
- Individuals$46.1M20%
- Corporations and businesses$15.9M7.1%
- Pension and profit-sharing plans$8.9M3.9%
- Individual clients
- 216reported
- HNW clients
- 116reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 611reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• J•••• D•••••• | Youngsville, La | Nov 14, 2002 | 35 y | 0 |
| R••••• J•••• M••••••Personal Financial Specialist | Lafayette, La | Aug 27, 2008 | 38 y | 0 |
| J• E•••• K•••••Personal Financial Specialist | Baton Rouge, La | Nov 29, 2021 | 26 y | 2 |
| S•••••• J•••• M•••••• | Lafayette, La | Jul 18, 2023 | 14 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
- K•••• J•••• P•••• to B•• A•••••••• L••Jul 17, 2023 · RIA to RIA
Joined, latest
- J• E•••• K••••• from C••••• A••••••• L••Nov 29, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R•••••• J•••• · Managing Member & Chief Compliance Officercontrolsince 10/1999 · owns 10% to 25%
- A•••••••• C••••••••• C•••••• · Membersince 10/1999 · owns 10% to 25%
- A•••••••• S••••••• J•••• · Membersince 10/1999 · owns 10% to 25%
- B•••••• E•••• J••• · Membersince 01/2008 · owns 10% to 25%
- G••••••• K•••••••• B••••• · Membersince 10/1999 · owns 10% to 25%
- R•••••••• J•••• R••••• · Membersince 10/1999 · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••••••• R•••• A•• M••••••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lafayette, La · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Baton Rouge, LA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 20, 2026employees (Item 5.A) moved from 12.0 to 7.0 (-42.0%) between the annual amendments of 2025-03-14 and 2026-03-20; the peer median change was 0.0% (507 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 3.4% percentile
What changed
consecutive filings, newest first
- Accounts · 538 to 611Sep 22, 2025 to Mar 20, 2026
- Advisory employees · 4 to 2Sep 22, 2025 to Mar 20, 2026
- Corporate clients · 15 to 20Sep 22, 2025 to Mar 20, 2026
- HNW clients · 108 to 116Sep 22, 2025 to Mar 20, 2026
- Individual clients · 189 to 216Sep 22, 2025 to Mar 20, 2026
- Employees · 12 to 7Sep 22, 2025 to Mar 20, 2026
- State-registered IARs · 4 to 2Sep 22, 2025 to Mar 20, 2026
- Discretionary RAUM · $213M to $225MSep 22, 2025 to Mar 20, 2026
- HNW RAUM · $159M to $154MSep 22, 2025 to Mar 20, 2026
- Individual RAUM · $35.6M to $46.1MSep 22, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $3.7M to $0Sep 22, 2025 to Mar 20, 2026
- Pension RAUM · $8.5M to $8.9MSep 22, 2025 to Mar 20, 2026
- RAUM · $217M to $225MSep 22, 2025 to Mar 20, 2026
- Accounts · 476 to 538Jun 5, 2024 to Mar 14, 2025
- Charity clients · unset to 0.0Jun 5, 2024 to Mar 14, 2025
- Corporate clients · 8 to 15Jun 5, 2024 to Mar 14, 2025
- HNW clients · 95 to 108Jun 5, 2024 to Mar 14, 2025
- Individual clients · 178 to 189Jun 5, 2024 to Mar 14, 2025
- Pension plan clients · 6 to 5Jun 5, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 1-10Jun 5, 2024 to Mar 14, 2025
- Discretionary RAUM · $191M to $213MJun 5, 2024 to Mar 14, 2025
- HNW RAUM · $145M to $159MJun 5, 2024 to Mar 14, 2025
- Individual RAUM · $34.3M to $35.6MJun 5, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $14.0M to $3.7MJun 5, 2024 to Mar 14, 2025
- Pension RAUM · $17.3M to $8.5MJun 5, 2024 to Mar 14, 2025
- RAUM · $205M to $217MJun 5, 2024 to Mar 14, 2025
- Accounts · 432 to 476Mar 28, 2023 to Mar 22, 2024
- Charity clients · 0.0 to unsetMar 28, 2023 to Mar 22, 2024
- Corporate clients · 7 to 8Mar 28, 2023 to Mar 22, 2024
- HNW clients · 85 to 95Mar 28, 2023 to Mar 22, 2024
- Individual clients · 163 to 178Mar 28, 2023 to Mar 22, 2024
- Pension plan clients · 7 to 6Mar 28, 2023 to Mar 22, 2024
- Employees · 11 to 12Mar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $160M to $191MMar 28, 2023 to Mar 22, 2024
- HNW RAUM · $122M to $145MMar 28, 2023 to Mar 22, 2024
- Individual RAUM · $28.0M to $34.3MMar 28, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $10.4M to $14.0MMar 28, 2023 to Mar 22, 2024
- Pension RAUM · $12.4M to $17.3MMar 28, 2023 to Mar 22, 2024
- RAUM · $170M to $205MMar 28, 2023 to Mar 22, 2024
- Financial planning clients · 1-10 to 0Jun 15, 2022 to Mar 28, 2023
Signals
2 dated events
- K•••• J•••• P•••• left A••• C•••••• M••••••••• L••••• for B•• A•••••••• L•• (registered 2023-09-22)Jul 17, 2023 · Advisor changed firm · fact
- A••• C•••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)Jun 15, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 337-895-0800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 337-895-0808reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/apex-capital-management-llc-1reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 337-895-0800reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- morellawealthtax.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- morellawealthtax.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $56.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026