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
B••• • C••••••
Legal name B••• • C•••••• W••••• M••••••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Mar 29, 2012 · 37 filings
SEC status approved since Jun 4, 2013
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$197M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$203M as of Feb 4, 2026
Mar 29, 2012$82.9M then
HNW client RAUM$159M as of Feb 4, 2026
Feb 21, 2018$108M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Feb 4, 2026
Mar 12, 20145 then
Private funds: no history
RAUM +6.2% over the last fiscal year+5.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 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
- i••••••••• 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $451,254derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.1%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M78%
- Individuals$37.4M18%
- Pension and profit-sharing plans$6.5M3.2%
- Corporations and businesses$54,8270.0%
- Individual clients
- 89reported
- HNW clients
- 58reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 450reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• L•••••• B•••Certified Financial Planner | Brentwood, Tn | Sep 20, 2007 | 30 y | 1 |
| M•••••• A•• E•••••Certified Financial Planner | Cheyenne, Wy | Jul 17, 2017 | 15 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
- J•••• D••••• L••• to I••••••••• F•••••••• G••••• L••Feb 15, 2021 · RIA to RIA
Joined, latest
- J•••• D••••• L••• from L••• W••••• M••••••••• L••Aug 25, 2020 · Other
- J•••• L•••••• B••• from L•• F•••••••• L••Sep 20, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J••••• L•••••• · President/Ceocontrolsince 01/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Brentwood, Tn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 451 to 450Oct 24, 2025 to Feb 4, 2026
- HNW clients · 55 to 58Oct 24, 2025 to Feb 4, 2026
- Individual clients · 105 to 89Oct 24, 2025 to Feb 4, 2026
- Discretionary RAUM · $191M to $203MOct 24, 2025 to Feb 4, 2026
- HNW RAUM · $142M to $159MOct 24, 2025 to Feb 4, 2026
- Individual RAUM · $43.3M to $37.4MOct 24, 2025 to Feb 4, 2026
- Pension RAUM · $5.9M to $6.5MOct 24, 2025 to Feb 4, 2026
- RAUM · $191M to $203MOct 24, 2025 to Feb 4, 2026
- Accounts · 445 to 451Feb 10, 2024 to Feb 4, 2025
- HNW clients · 57 to 55Feb 10, 2024 to Feb 4, 2025
- Pension plan clients · unset to 7.0Feb 10, 2024 to Feb 4, 2025
- Financial planning clients · 51-100 to 51-100Feb 10, 2024 to Feb 4, 2025
- HQ city · unset to Feb 10, 2024 to Feb 4, 2025
- HQ state · unset to Feb 10, 2024 to Feb 4, 2025
- Discretionary RAUM · $175M to $191MFeb 10, 2024 to Feb 4, 2025
- HNW RAUM · $126M to $142MFeb 10, 2024 to Feb 4, 2025
- Individual RAUM · $39.3M to $43.3MFeb 10, 2024 to Feb 4, 2025
- Pension RAUM · $10.1M to $5.9MFeb 10, 2024 to Feb 4, 2025
- RAUM · $175M to $191MFeb 10, 2024 to Feb 4, 2025
- Accounts · 459 to 445Feb 15, 2023 to Feb 10, 2024
- HNW clients · 56 to 57Feb 15, 2023 to Feb 10, 2024
- Individual clients · 106 to 105Feb 15, 2023 to Feb 10, 2024
- Discretionary RAUM · $171M to $175MFeb 15, 2023 to Feb 10, 2024
- HNW RAUM · $121M to $126MFeb 15, 2023 to Feb 10, 2024
- Individual RAUM · $42.4M to $39.3MFeb 15, 2023 to Feb 10, 2024
- Pension RAUM · $7.7M to $10.1MFeb 15, 2023 to Feb 10, 2024
- RAUM · $171M to $175MFeb 15, 2023 to Feb 10, 2024
- Accounts · 441 to 459Feb 21, 2022 to Feb 15, 2023
- HNW clients · 53 to 56Feb 21, 2022 to Feb 15, 2023
- Individual clients · 104 to 106Feb 21, 2022 to Feb 15, 2023
- Discretionary RAUM · $182M to $171MFeb 21, 2022 to Feb 15, 2023
- HNW RAUM · $136M to $121MFeb 21, 2022 to Feb 15, 2023
- Individual RAUM · $45.7M to $42.4MFeb 21, 2022 to Feb 15, 2023
- Pension RAUM · $438,490 to $7.7MFeb 21, 2022 to Feb 15, 2023
- RAUM · $182M to $171MFeb 21, 2022 to Feb 15, 2023
- Accounts · 437 to 441Dec 2, 2021 to Feb 21, 2022
- HNW clients · 56 to 53Dec 2, 2021 to Feb 21, 2022
- Individual clients · 101 to 104Dec 2, 2021 to Feb 21, 2022
- Discretionary RAUM · $166M to $182MDec 2, 2021 to Feb 21, 2022
- HNW RAUM · $124M to $136MDec 2, 2021 to Feb 21, 2022
Signals
2 dated events
- B••• • C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 2, 2021 · Succession (Item 4) · fact
- R••• • B•••• I••• filed its initial SEC registration (Form ADV)May 28, 2013 · 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
- 805-376-2779reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 805-376-2779reportedpublic record, Form ADV, Feb 4, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026