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.

Former SEC-registered adviser

Fulcrum Advisory Services, LLC

Former SEC-registered adviserSt. Louis, MissouriCRD 131777SEC 801-65303IAPD
Latest filing Jun 6, 2016
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$24.9M as of Mar 31, 2015
Mar 30, 2012$191M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 6, 2016
Mar 30, 20120 then
Employees (5.A)3 as of Jun 6, 2016
Apr 1, 201324 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 1
Practice profile
derived from the filing of Jun 6, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-88%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
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
n/areported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Paul William Behrens · President & Ceocontrol
      since 01/2017 · owns less than 5%
    • Dawn Cynthia Lyons · Chief Compliance Officer/Secretarycontrol
      since 02/2008 · owns less than 5%
    • Paul William Behrens · Ownercontrol
      since 02/2015 · owns 75% or more of Bartow Creek Partners, LLC
    Entity owners
    • Ahm-Pivot Holdings, LLC · Direct Owner
      direct · owns 50% to 75%
    • Bartow Creek Partners, LLC · Direct Owner
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    Advisers that list Fulcrum Advisory Services, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • West Plains, NY
    What changed
    consecutive filings, newest first
    • Accounts · 102.0 to unset
      Dec 17, 2015 to Jun 6, 2016
    • Advisory employees · 8 to 1
      Dec 17, 2015 to Jun 6, 2016
    • BD registered reps · 11 to 3
      Dec 17, 2015 to Jun 6, 2016
    • Employees · 11 to 3
      Dec 17, 2015 to Jun 6, 2016
    • Insurance-licensed employees · 0 to 1
      Dec 17, 2015 to Jun 6, 2016
    • State-registered IARs · 8 to 1
      Dec 17, 2015 to Jun 6, 2016
    • Discretionary RAUM · 24886594.0 to unset
      Dec 17, 2015 to Jun 6, 2016
    • Non-discretionary RAUM · 0.0 to unset
      Dec 17, 2015 to Jun 6, 2016
    • RAUM · 24886594.0 to unset
      Dec 17, 2015 to Jun 6, 2016
    • Accounts · 808 to 102
      Mar 3, 2015 to Mar 31, 2015
    • Advisory employees · 14 to 8
      Mar 3, 2015 to Mar 31, 2015
    • BD registered reps · 17 to 11
      Mar 3, 2015 to Mar 31, 2015
    • Employees · 17 to 11
      Mar 3, 2015 to Mar 31, 2015
    • State-registered IARs · 14 to 8
      Mar 3, 2015 to Mar 31, 2015
    • Discretionary RAUM · $21.4M to $24.9M
      Mar 3, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $139M to $0
      Mar 3, 2015 to Mar 31, 2015
    • RAUM · $160M to $24.9M
      Mar 3, 2015 to Mar 31, 2015
    • Related adviser · true to false
      Mar 3, 2015 to Mar 31, 2015
    • Accounts · 998 to 808
      Jan 22, 2014 to Apr 7, 2014
    • Advisory employees · 22 to 14
      Jan 22, 2014 to Apr 7, 2014
    • BD registered reps · 24 to 17
      Jan 22, 2014 to Apr 7, 2014
    • Employees · 24 to 17
      Jan 22, 2014 to Apr 7, 2014
    • State-registered IARs · 22 to 14
      Jan 22, 2014 to Apr 7, 2014
    • Discretionary RAUM · $37.0M to $21.4M
      Jan 22, 2014 to Apr 7, 2014
    • Non-discretionary RAUM · $200M to $139M
      Jan 22, 2014 to Apr 7, 2014
    • RAUM · $237M to $160M
      Jan 22, 2014 to Apr 7, 2014
    • Accounts · 797 to 998
      Aug 20, 2012 to Apr 1, 2013
    • Advisory employees · unset to 22.0
      Aug 20, 2012 to Apr 1, 2013
    • BD registered reps · unset to 24.0
      Aug 20, 2012 to Apr 1, 2013
    • Employees · unset to 24.0
      Aug 20, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 22
      Aug 20, 2012 to Apr 1, 2013
    • Discretionary RAUM · $27.6M to $37.0M
      Aug 20, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $164M to $200M
      Aug 20, 2012 to Apr 1, 2013
    • RAUM · $191M to $237M
      Aug 20, 2012 to Apr 1, 2013
    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.
    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