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
E••••••• W••••• P•••••••
Legal name B•••• A•••• M••••••••• I•••
Latest filing Jun 28, 2017
First filing on the tape Mar 23, 2012 · 15 filings
RAUM
$84.6M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$84.6M as of Mar 18, 2017
Mar 23, 2012$61.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 18, 2017
Mar 23, 20120 then
Employees (5.A)8 as of Mar 18, 2017
Mar 28, 20167 then
Private funds: no history
RAUM -27% over the last fiscal yearIARs 4 to 2
Practice profile
derived from the filing of Jun 28, 2017; every figure names its basis
- RAUM per advisor
- $42.3MderivedRAUM 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
- $228,689derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 370reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- K•••••••• Y••••• F••••• to C•••••• O•• I••••••••• I•••Dec 31, 2018 · Other
- R••••• V•••• B•••• to C•••••• O•• I••••••••• I•••Dec 31, 2018 · Other
- M•••••• J••••• S••• to A•••••• C•••••• L••Apr 10, 2017 · Other
- M••••• R••••• B••• to O•••• W••••• P••••••• A•••••••Apr 10, 2017 · Other
- M•••••• F• P•••••• to R•••••••• W••••• A•••••••• L•••Sep 1, 2016 · Other
- J••••• E•• S••• to R•••••••• W••••• A•••••••• L•••Sep 1, 2016 · Other
- M•••••• F•••• B•••• to T•••••••• F•••••••• S•••••••• L••Nov 22, 2013 · Other
- M••••••• K•••• A••••••• to E••••••••• A•••••••• L••May 2, 2012 · Other
Joined, latest
- M••••• R••••• B••• from B••• A•••• M••••••••• I•••Jul 25, 2016 · Other
- M•••••• F• P•••••• from H•••••• T••••••• • K•••• L••Jun 20, 2014 · Other
- J••••• E•• S••• from H•••••• T••••••• • K•••• L••Jun 18, 2014 · Other
- K•••••••• Y••••• F••••• from S•••••• N••••••• • C••••••• I•••••••••Sep 26, 2013 · Other
- M•••••• F•••• B•••• from S••• C•••• W••••• M•••••••••Aug 3, 2012 · Other
- R••••• V•••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 4, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••• O•• I••••••••• I•••Dec 31, 2018 · Franklin, Tn
- 2 left for R•••••••• W••••• A•••••••• L•••Sep 1, 2016 · Franklin, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P•••••• L•••• · Secretarycontrolsince 11/2003 · owns less than 5%
- B••••• R•••••• V•••• · President, Chief Compliance Officercontrolsince 09/2003 · owns 75% or more
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
- Advisory employees · 4 to 2Mar 18, 2017 to Jun 27, 2017
- Employees · 8 to 6Mar 18, 2017 to Jun 27, 2017
- State-registered IARs · 4 to 2Mar 18, 2017 to Jun 27, 2017
- Accounts · 681 to 370Feb 21, 2017 to Mar 18, 2017
- Advisory employees · 3 to 4Feb 21, 2017 to Mar 18, 2017
- Advisory activities · 3 to 4Feb 21, 2017 to Mar 18, 2017
- Employees · 6 to 8Feb 21, 2017 to Mar 18, 2017
- Financial planning clients · 101-250 to 51-100Feb 21, 2017 to Mar 18, 2017
- State-registered IARs · 3 to 4Feb 21, 2017 to Mar 18, 2017
- Discretionary RAUM · $115M to $83.6MFeb 21, 2017 to Mar 18, 2017
- Non-discretionary RAUM · $1.4M to $1.0MFeb 21, 2017 to Mar 18, 2017
- RAUM · $117M to $84.6MFeb 21, 2017 to Mar 18, 2017
- Advisory employees · 5 to 3Aug 16, 2016 to Sep 8, 2016
- Employees · 8 to 6Aug 16, 2016 to Sep 8, 2016
- State-registered IARs · 5 to 3Aug 16, 2016 to Sep 8, 2016
- Related insurance company · true to falseAug 16, 2016 to Sep 8, 2016
- Advisory employees · 4 to 5Mar 29, 2016 to Aug 16, 2016
- Employees · 7 to 8Mar 29, 2016 to Aug 16, 2016
- State-registered IARs · 4 to 5Mar 29, 2016 to Aug 16, 2016
- Accounts · 611 to 681Sep 25, 2015 to Mar 28, 2016
- Discretionary RAUM · $124M to $115MSep 25, 2015 to Mar 28, 2016
- Non-discretionary RAUM · $956,300 to $1.4MSep 25, 2015 to Mar 28, 2016
- RAUM · $125M to $117MSep 25, 2015 to Mar 28, 2016
- Accounts · 303 to 611May 2, 2012 to Apr 22, 2015
- Advisory employees · unset to 4.0May 2, 2012 to Apr 22, 2015
- Advisory activities · 5 to 3May 2, 2012 to Apr 22, 2015
- Business name · B•••• D••••• • A••••••••• to E••••••• W••••• P•••••••May 2, 2012 to Apr 22, 2015
- Employees · unset to 7.0May 2, 2012 to Apr 22, 2015
- Insurance-licensed employees · 1 to 0May 2, 2012 to Apr 22, 2015
- State-registered IARs · 0 to 4May 2, 2012 to Apr 22, 2015
- Discretionary RAUM · $60.7M to $124MMay 2, 2012 to Apr 22, 2015
- Non-discretionary RAUM · $976,945 to $956,300May 2, 2012 to Apr 22, 2015
- RAUM · $61.6M to $125MMay 2, 2012 to Apr 22, 2015
- Related insurance company · false to trueMay 2, 2012 to Apr 22, 2015
Signals
1 dated events
- E••••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Apr 22, 2015 · 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