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
William B. Walkup & Associates, Inc.
Wealth manager with institutional or fund businessColumbia, South CarolinaCRD 135533SEC 801-126904IAPD
Latest filing Aug 13, 2026
First filing on the tape Mar 29, 2012 · 10 filings
SEC status approved since Nov 18, 2022
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$80.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$59.4M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
13
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$178M as of Aug 13, 2026
Mar 29, 2012$52.1M then
HNW client RAUM$66.5M as of Aug 13, 2026
Mar 31, 2023$50.5M then
State-registered IARs (5.B.3)4 as of Aug 13, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Aug 13, 2026
Mar 31, 20234 then
Private funds13 as of Aug 13, 2026
Mar 29, 201218 then
RAUM +12% over the last fiscal year+8.0% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Aug 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $59.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$89.4M50%
- High-net-worth individuals$66.5M37%
- Individuals$13.9M7.8%
- Corporations and businesses$8.5M4.8%
- Individual clients
- 33reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 65reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.45 fund_share=0.5 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Brantley NewsomeCertified Financial Planner | Columbia, Sc | Jul 9, 2024 | 22 y | 0 |
| Christopher Joel WalkupChartered Financial Analyst | Columbia, Sc | Oct 4, 2024 | 30 y | 0 |
| William Baskin Walkup | Columbia, Sc | Jan 1, 2026 | 34 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
none on the tape
Joined, latest
none on the tape
Private funds
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Columbia Cash Reserves. LLC | Private Equity Fund | $24.5M | 98 | Mar 29, 2012 |
| Equity 99 LLC | Private Equity Fund | $23.4M | 57 | Mar 29, 2012 |
| Equity 97 LLC | Private Equity Fund | $10.0M | 19 | Mar 29, 2012 |
| Equity 83 LLC | Private Equity Fund | $6.9M | 38 | Mar 29, 2012 |
| Equity 96 LLC | Private Equity Fund | $6.7M | 36 | Mar 29, 2012 |
| Equity 95 LLC | Private Equity Fund | $3.1M | 19 | Mar 29, 2012 |
| Equity 86 LLC | Private Equity Fund | $2.8M | 24 | Mar 29, 2012 |
| Equity 89 LLC | Private Equity Fund | $2.3M | 7 | Mar 29, 2012 |
| Equity 94 LLC | Private Equity Fund | $2.2M | 8 | Mar 29, 2012 |
| Equity 85 LLC | Private Equity Fund | $2.2M | 12 | Mar 29, 2012 |
| Equity 84 LLC | Private Equity Fund | $2.2M | 6 | Mar 29, 2012 |
| Equity 93 LLC | Private Equity Fund | $1.4M | 17 | Mar 29, 2012 |
| Capital Growth Investment LLC | Private Equity Fund | $1.0M | 5 | Mar 29, 2012 |
| Equity 98 Investment Partnershipno longer reported | Private Equity Fund | $666,218 | 17 | Mar 29, 2012 |
| Growth Funds 82 Investment Clubno longer reported | Private Equity Fund | $393,077 | 4 | Mar 29, 2012 |
| Growth Funds 81 Investment Clubno longer reported | Private Equity Fund | $359,160 | 3 | Mar 29, 2012 |
| Equity 91 Investment Partnershipno longer reported | Private Equity Fund | $205,641 | 6 | Mar 29, 2012 |
| Equity 87 Investment Partnershipno longer reported | Private Equity Fund | $158,653 | 7 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Brantley Richard Newsome · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Joel Christopher Walkup · Cfocontrolsince 09/2001 · owns less than 5%
- Baskin William Walkup · Owner/Investment Advisor Representativecontrolsince 09/1992 · owns 75% or more
Related persons
Schedule D 7.A
- Walkup Mangement, Inc.insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbia, Sc · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 16, 2026 to Aug 13, 2026
- Employees · 4 to 5Mar 16, 2026 to Aug 13, 2026
- State-registered IARs · 3 to 4Mar 16, 2026 to Aug 13, 2026
- Other offices · 0 to 1Mar 16, 2026 to Aug 13, 2026
- Accounts · 64 to 65Mar 19, 2025 to Mar 16, 2026
- HNW clients · 15 to 18Mar 19, 2025 to Mar 16, 2026
- Individual clients · 35 to 33Mar 19, 2025 to Mar 16, 2026
- Discretionary RAUM · $159M to $178MMar 19, 2025 to Mar 16, 2026
- HNW RAUM · $55.2M to $66.5MMar 19, 2025 to Mar 16, 2026
- Individual RAUM · $14.8M to $13.9MMar 19, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $81.0M to $89.4MMar 19, 2025 to Mar 16, 2026
- RAUM · $159M to $178MMar 19, 2025 to Mar 16, 2026
- HNW clients · 16 to 15Mar 28, 2024 to Mar 19, 2025
- Individual clients · 34 to 35Mar 28, 2024 to Mar 19, 2025
- Assets in custody · 88581918.0 to unsetMar 28, 2024 to Mar 19, 2025
- Custody of client assets · true to falseMar 28, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 19, 2025
- Discretionary RAUM · $152M to $159MMar 28, 2024 to Mar 19, 2025
- HNW RAUM · $53.4M to $55.2MMar 28, 2024 to Mar 19, 2025
- Individual RAUM · $13.6M to $14.8MMar 28, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $78.1M to $81.0MMar 28, 2024 to Mar 19, 2025
- RAUM · $152M to $159MMar 28, 2024 to Mar 19, 2025
- Accounts · 73 to 64Mar 31, 2023 to Mar 28, 2024
- HNW clients · 17 to 16Mar 31, 2023 to Mar 28, 2024
- Individual clients · 42 to 34Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $73.3M to $88.6MMar 31, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 0Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $141M to $152MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $50.5M to $53.4MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $12.5M to $13.6MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $73.3M to $78.1MMar 31, 2023 to Mar 28, 2024
- RAUM · $141M to $152MMar 31, 2023 to Mar 28, 2024
- Accounts · 75 to 73Nov 17, 2022 to Mar 31, 2023
- HNW clients · 19 to 17Nov 17, 2022 to Mar 31, 2023
- Assets in custody · $75.8M to $73.3MNov 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $146M to $141MNov 17, 2022 to Mar 31, 2023
- HNW RAUM · $54.9M to $50.5MNov 17, 2022 to Mar 31, 2023
- Individual RAUM · $14.9M to $12.5MNov 17, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $71.4M to $73.3MNov 17, 2022 to Mar 31, 2023
- RAUM · $146M to $141MNov 17, 2022 to Mar 31, 2023
Signals
2 dated events
- Brantley Richard Newsome (Chief Compliance Officer) appeared on Schedule A of William B. Walkup & Associates, Inc.Mar 28, 2024 · Control person joined · fact
- William B. Walkup & Associates, Inc. filed its initial SEC registration (Form ADV)Oct 19, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- William B. Walkup & Associates, Inc. · Independent Sponsorsshared crd · capital_provider
- William B. Walkup & Associates, Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 803-462-9395reportedpublic record, Form ADV, Aug 13, 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
- $59.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026