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.
SEC-registered adviser
Beacon Capital Management, Inc.
Latest filing Mar 31, 2026
First filing on the tape Jan 18, 2012 · 63 filings
SEC status approved since Jun 13, 2002
RAUM
$4.3B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
47%
$2.0B individuals and HNW
Advisors
26
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
44
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
63 filings and snapshots on the tape
RAUM$4.3B as of Mar 31, 2026
Jan 18, 2012$242M then
HNW client RAUM$353M as of Mar 31, 2026
Mar 21, 2018$273M then
State-registered IARs (5.B.3)13 as of Mar 31, 2026
Mar 14, 20133 then
Employees (5.A)44 as of Mar 31, 2026
Mar 14, 201319 then
Private funds: no history
RAUM +5.0% over the last fiscal year-4.7% a year over threeIARs 12 to 13offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 393derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $407,238derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 13.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, publicationsreportedItem 5.G
- Wrap fee program
- $1.8BreportedItem 5.I
- Custody
- $321M, 2,259 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.6B74%
- High-net-worth individuals$353M16%
- Investment companies$150M6.8%
- Pension and profit-sharing plans$47.2M2.1%
- Corporations and businesses$27.2M1.2%
- Charitable organizations$1.2M0.1%
- Individual clients
- 10,057reported
- HNW clients
- 162reported
- Pension plan clients
- 162reported
- Charitable clients
- 6reported
- Accounts
- 10,456reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $321M for 2,259 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.47 fund_share=0.04 institutional_share=0.01 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
26 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Christopher Cook | Dayton, Oh | Jan 21, 2003 | 30 y | 0 |
| Tyler Jeremy Mays | Dayton, Oh | Aug 17, 2016 | 10 y | 0 |
| Vincent Anthony Gaglione | Dayton, Oh | Sep 18, 2017 | 11 y | 0 |
| Jesse Howie | Dayton, Oh | Feb 2, 2022 | 16 y | 2 |
| William Leo LoweChartered Financial Consultant | Dayton, Oh | Feb 3, 2022 | 33 y | 3 |
| Joshua Smith | Dayton, Oh | Feb 3, 2022 | 28 y | 2 |
| Gregory John Bonzagni | Dayton, Oh | Feb 4, 2022 | 29 y | 3 |
| John Henseler | Dayton, Oh | Feb 7, 2022 | 29 y | 5 |
| Kerry Cahill | Bryn Mawr, Pa | Feb 10, 2022 | 26 y | 2 |
| Emily Marlene Damman | Dayton, Oh | Sep 2, 2022 | 10 y | 0 |
| Thomas Edward Corner | Dayton, Oh | Sep 26, 2022 | 28 y | 3 |
| Brett Lee Agnew | Dayton, Oh | Sep 26, 2022 | 24 y | 0 |
| Michael Lee Mock | West Des Moines, Ia | Oct 14, 2022 | 13 y | 0 |
| Brian Allan Thomson | Dayton, Oh | Nov 10, 2022 | 30 y | 5 |
| Leonard DursoChartered Financial Consultant | Wesley Chapel, Fl | Nov 22, 2022 | 26 y | 1 |
| Robert David May | Dayton, Oh | Dec 22, 2022 | 23 y | 0 |
| Andrew Joseph RinnCertified Financial Planner | West Des Moines, Ia | Jan 4, 2023 | 23 y | 2 |
| Christopher Joseph Kobes | West Des Moines, Ia | Jan 6, 2023 | 10 y | 2 |
| Isaiah Stegman | West Des Moines, Ia | Feb 9, 2023 | 13 y | 1 |
| Jacob Patrick Mcmillen | Lewis Center, Oh | Feb 22, 2023 | 12 y | 1 |
| Kyla Ward | Richmond, Va | Nov 2, 2023 | 16 y | 1 |
| Adam Roepsch | Dayton, Oh | Dec 7, 2023 | 11 y | 0 |
| Diavante Jamario Brown | Dayton, Oh | Apr 11, 2024 | 13 y | 2 |
| Micah Fretz | Dayton, Oh | Nov 19, 2025 | 12 y | 1 |
| Daniel J Baccarini | Gulf Breeze, Fl | Feb 17, 2026 | 22 y | 0 |
| Richard Allen | Chicago, Il | Sep 1, 2026 | 37 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 7.7% of current headcount3 left over 36 months
Left, latest
- Joseph Tarpey to Osaic Wealth, Inc.Sep 1, 2026 · RIA to affiliated broker-dealer or bank
- Stephen Thomas Bogosian to Cwm, LLCMar 3, 2026 · RIA to affiliated broker-dealer or bank
- Erik Blase to Legacy Financial GroupJul 24, 2025 · RIA to RIA
- Martin Anthony Jaras to Jaras Financial Services, Inc.Jan 5, 2017 · Other
- Steve James Persons to Cbs Funding, Inc.Sep 2, 2011 · Other
Joined, latest
- Micah Fretz from Forthright CapitalNov 19, 2025 · RIA to RIA
- Stephen Thomas Bogosian from Swan Global Investments, LLCApr 24, 2025 · RIA to RIA
- Joseph Tarpey from LPL Financial LLCJun 27, 2024 · Affiliated broker-dealer or bank to independent RIA
- Diavante Jamario Brown from Pruco Securities, LLCApr 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- Erik Blase from Independent Wealth Network, Inc.Jan 17, 2024 · RIA to RIA
- Kyla Ward from Esi Financial AdvisorsNov 2, 2023 · RIA to RIA
- Jacob Patrick Mcmillen from Nationwide Investment Advisors, LLCFeb 22, 2023 · Affiliated broker-dealer or bank to independent RIA
- Isaiah Stegman from Fbl Wealth Management, LLCFeb 9, 2023 · Affiliated broker-dealer or bank to independent RIA
- Christopher Joseph Kobes from Avantax Planning Partners, Inc.Jan 6, 2023 · RIA to RIA
- Andrew Joseph Rinn from Ameritas Advisory Services, LLCJan 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- Leonard Durso from Flexible Plan Investments LtdNov 22, 2022 · RIA to RIA
- Brian Allan Thomson from Berthel Fisher & Company Financial Services, Inc.Nov 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- Thomas Edward Corner from Esi Financial AdvisorsSep 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- Kerry Cahill from SpcFeb 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- John Henseler from SpcFeb 7, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Brett Agnew · General Counselcontrolsince 03/2022 · owns less than 5%
- Christopher James Cook · Cio And Executive Chairmancontrolsince 02/2024 · owns less than 5%
- Marlene Emily Damman · Presidentcontrolsince 02/2024 · owns less than 5%
- Marshall James Dubrueler · Chief Financial Officercontrolsince 03/2026 · owns less than 5%
- Edward Daniel Edsen · Treasurer Operationscontrolsince 04/2021 · owns less than 5%
- Lee Michael Mock · Presidentcontrolsince 12/2025 · owns less than 5%
- Johnsten Daniel Snyder · Chief Compliance Officercontrolsince 04/2025 · owns less than 5%
- Nicolino Nicole Nayima · Chief Compliance Officersince 02/2024 · owns less than 5%
Entity owners
- Sammons Financial Group · Ownerdirect · owns 75% or more
- Sammons Financial Group Wealth · Managingdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dayton, Oh · principal | 26 | 3 | 1 | ||
| West Des Moines, Ia | 5 | 0 | 0 | ||
| Littleton, Co | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 31, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $4,056,070,675 to $4,258,083,129, advisors 12 to 13, private clients 13015 to 10219, offices 0 to 1 (2025-04-28 to 2026-03-31)peers: independent wealth managers, $1B to $5B (1,360)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 65.0% to 47.0% between the annual amendments of 2025-04-28 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 31, 2026DuBrueler, James, Marshall (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-05-29 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 31, 2026Snyder, Daniel, Johnsten (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-05-29 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 31, 2026Mock, Michael, Lee (PRESIDENT) appeared on Schedule A between the filings of 2024-05-29 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 31, 2026COOK, JAMES, CHRISTOPHER (CIO AND EXECUTIVE CHAIRMAN) left Schedule A between the filings of 2024-05-29 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 25.0 to 44.0 (+76.0%) between the annual amendments of 2025-04-28 and 2026-03-31; the peer median change was +4.0% (1050 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 13,893 to 10,456Jan 13, 2026 to Mar 31, 2026
- BD registered reps · 0 to 8Jan 13, 2026 to Mar 31, 2026
- Charity clients · 7 to 6Jan 13, 2026 to Mar 31, 2026
- Corporate clients · 62 to 48Jan 13, 2026 to Mar 31, 2026
- HNW clients · 184 to 162Jan 13, 2026 to Mar 31, 2026
- Individual clients · 13,430 to 10,057Jan 13, 2026 to Mar 31, 2026
- Pension plan clients · 189 to 162Jan 13, 2026 to Mar 31, 2026
- Assets in custody · $260M to $321MJan 13, 2026 to Mar 31, 2026
- Employees · 22 to 44Jan 13, 2026 to Mar 31, 2026
- State-registered IARs · 12 to 13Jan 13, 2026 to Mar 31, 2026
- Discretionary RAUM · $4.5B to $4.0BJan 13, 2026 to Mar 31, 2026
- HNW RAUM · $373M to $353MJan 13, 2026 to Mar 31, 2026
- Individual RAUM · $1.9B to $1.6BJan 13, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $181M to $235MJan 13, 2026 to Mar 31, 2026
- Pension RAUM · $52.7M to $47.2MJan 13, 2026 to Mar 31, 2026
- RAUM · $4.7B to $4.3BJan 13, 2026 to Mar 31, 2026
- Wrap assets (manager) · $149M to $0Jan 13, 2026 to Mar 31, 2026
- Succession · true to falseAug 30, 2025 to Sep 10, 2025
- Accounts · 13,025 to 13,893May 12, 2025 to Aug 30, 2025
- Advisory activities · 3 to 4May 12, 2025 to Aug 30, 2025
- Corporate clients · 57 to 62May 12, 2025 to Aug 30, 2025
- HNW clients · 255 to 184May 12, 2025 to Aug 30, 2025
- Individual clients · 12,760 to 13,430May 12, 2025 to Aug 30, 2025
- Pension plan clients · 173 to 189May 12, 2025 to Aug 30, 2025
- Assets in custody · unset to 259939719.0May 12, 2025 to Aug 30, 2025
- Custody of client assets · false to trueMay 12, 2025 to Aug 30, 2025
- Employees · 25 to 22May 12, 2025 to Aug 30, 2025
- Other offices · 0 to 1May 12, 2025 to Aug 30, 2025
- Discretionary RAUM · $3.9B to $4.5BMay 12, 2025 to Aug 30, 2025
- HNW RAUM · $533M to $373MMay 12, 2025 to Aug 30, 2025
- Individual RAUM · $2.1B to $1.9BMay 12, 2025 to Aug 30, 2025
- Non-discretionary RAUM · $139M to $181MMay 12, 2025 to Aug 30, 2025
- Pension RAUM · $37.3M to $52.7MMay 12, 2025 to Aug 30, 2025
- RAUM · $4.1B to $4.7BMay 12, 2025 to Aug 30, 2025
- Related bank · true to falseMay 12, 2025 to Aug 30, 2025
- Succession · false to trueMay 12, 2025 to Aug 30, 2025
- Wrap assets (manager) · $0 to $149MMay 12, 2025 to Aug 30, 2025
- Financial planning clients · unset to Apr 28, 2025 to May 12, 2025
- Accounts · 15,730 to 13,025Jul 19, 2024 to Apr 28, 2025
- Advisory employees · 9 to 5Jul 19, 2024 to Apr 28, 2025
Signals
13 dated events
- Joseph Tarpey left Beacon Capital Management, Inc. for Osaic Wealth, Inc. (registered 2026-09-01)Sep 1, 2026 · Advisor changed firm · fact
- Stephen Thomas Bogosian left Beacon Capital Management, Inc. for Cwm, Llc (registered 2026-03-09)Mar 3, 2026 · Advisor changed firm · fact
- Beacon Capital Management, Inc. reported succeeding to the business of Astor Investment Management Llc (Form ADV Item 4)Aug 30, 2025 · Succession (Item 4) · fact
- Erik Blase left Beacon Capital Management, Inc. for Legacy Financial Group (registered 2026-06-16)Jul 24, 2025 · Advisor changed firm · fact
- Eruch Esfandyar Dinshaw (Chief Executive Officer) no longer on Schedule A of Beacon Capital Management, Inc. (listed 2024-03-21, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Edward Daniel Edsen (Treasurer) appeared on Schedule A of Beacon Capital Management, Inc.Mar 28, 2024 · Control person joined · fact
- Edward Matthew Debord (Chief Operations Officer) no longer on Schedule A of Beacon Capital Management, Inc. (listed 2024-03-13, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- Beacon Capital Management, Inc. reported RAUM $4.7B, up 42% from $3.3B (2022-03-03 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- Eruch Esfandyar Dinshaw (Chief Executive Officer) appeared on Schedule A of Beacon Capital Management, Inc.Mar 24, 2022 · Control person joined · fact
- Matthew Debord (Chief Operations Officer) appeared on Schedule A of Beacon Capital Management, Inc.Mar 24, 2022 · Control person joined · fact
- Emily Damman (Counsel/Chief Compliance Officer) appeared on Schedule A of Beacon Capital Management, Inc.Mar 24, 2022 · Control person joined · fact
- Lee Brett Agnew (Chief Compliance Officer) appeared on Schedule A of Beacon Capital Management, Inc.May 25, 2021 · Control person joined · fact
- Beacon Capital Management, Inc. reported RAUM $2.7B, up 33% from $2.0B (2017-04-07 to 2018-03-21)Mar 21, 2018 · RAUM change · derived
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
- 866-439-9093reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/beacon-capital-mgmtreportedpublic record, Form ADV, Sep 17, 2026
- Website
- beaconinvestingfunds.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 937-439-9093reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026