DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B•••• • A••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 28, 2012 · 19 filings
SEC status approved since Aug 5, 2005
RAUM
$294M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$294M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$147M
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
19 filings and snapshots on the tape
RAUM$294M as of Mar 20, 2026
Mar 28, 2012$93.6M then
HNW client RAUM$260M as of Mar 20, 2026
Mar 22, 2018$138M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Mar 20, 2026
Mar 19, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 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
- Independent 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
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $673,339derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$260M88%
- Individuals$34.0M12%
- Charitable organizations$483,2760.2%
- Individual clients
- 105reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 437reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| L•••• J••• B••••Chartered Financial Analyst | Atlanta, Ga | Mar 16, 2018 | 49 y | 0 |
| D•••• H••••• B•••• | Atlanta, Ga | Jan 20, 2022 | 21 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• H••••• · Owner/Chief Compliance Officercontrolsince 01/2022 · owns 25% to 50%
- B••••• L••••• J••• · Owner/Presidentcontrolsince 01/2005 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 120 to 105Mar 14, 2025 to Mar 20, 2026
- Employees · 3 to 4Mar 14, 2025 to Mar 20, 2026
- Accounts · 432 to 437Mar 14, 2025 to Mar 20, 2026
- Charity clients · 0 to 1Mar 14, 2025 to Mar 20, 2026
- HNW clients · 52 to 55Mar 14, 2025 to Mar 20, 2026
- Financial planning clients · 11-25 to 26-50Mar 14, 2025 to Mar 20, 2026
- Discretionary RAUM · $264M to $293MMar 14, 2025 to Mar 20, 2026
- HNW RAUM · $231M to $260MMar 14, 2025 to Mar 20, 2026
- Individual RAUM · $33.2M to $34.0MMar 14, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $2,260 to $1.3MMar 14, 2025 to Mar 20, 2026
- RAUM · $264M to $294MMar 14, 2025 to Mar 20, 2026
- Accounts · 448 to 432Mar 14, 2024 to Mar 14, 2025
- Individual clients · 121 to 120Mar 14, 2024 to Mar 14, 2025
- Financial planning clients · 11-25 to 11-25Mar 14, 2024 to Mar 14, 2025
- Discretionary RAUM · $251M to $264MMar 14, 2024 to Mar 14, 2025
- HNW RAUM · $217M to $231MMar 14, 2024 to Mar 14, 2025
- Individual RAUM · $33.5M to $33.2MMar 14, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $850 to $2,260Mar 14, 2024 to Mar 14, 2025
- RAUM · $251M to $264MMar 14, 2024 to Mar 14, 2025
- Accounts · 429 to 448Mar 9, 2023 to Mar 14, 2024
- HNW clients · 48 to 52Mar 9, 2023 to Mar 14, 2024
- Employees · 2 to 3Mar 9, 2023 to Mar 14, 2024
- Financial planning clients · 26-50 to 11-25Mar 9, 2023 to Mar 14, 2024
- Discretionary RAUM · $218M to $251MMar 9, 2023 to Mar 14, 2024
- HNW RAUM · $187M to $217MMar 9, 2023 to Mar 14, 2024
- Individual RAUM · $30.5M to $33.5MMar 9, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $716 to $850Mar 9, 2023 to Mar 14, 2024
- RAUM · $218M to $251MMar 9, 2023 to Mar 14, 2024
- Accounts · 422 to 429Dec 1, 2022 to Mar 9, 2023
- HNW clients · 52 to 48Dec 1, 2022 to Mar 9, 2023
- Individual clients · 108 to 121Dec 1, 2022 to Mar 9, 2023
- State-registered IARs · 0 to 2Dec 1, 2022 to Mar 9, 2023
- Discretionary RAUM · $217M to $218MDec 1, 2022 to Mar 9, 2023
- HNW RAUM · $188M to $187MDec 1, 2022 to Mar 9, 2023
- Individual RAUM · $28.8M to $30.5MDec 1, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $1,098 to $716Dec 1, 2022 to Mar 9, 2023
- RAUM · $217M to $218MDec 1, 2022 to Mar 9, 2023
- Accounts · 411 to 422Mar 4, 2021 to Mar 17, 2022
- HNW clients · 48 to 52Mar 4, 2021 to Mar 17, 2022
- Individual clients · 111 to 108Mar 4, 2021 to Mar 17, 2022
Signals
1 dated events
- H••••• D•••• B•••• (Vice President) appeared on Schedule A of B•••• • A••••••••• L••Dec 1, 2022 · Control person joined · 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
- 404-256-0268reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-256-1154reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-272-9553reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B••••ANDASSOCIATES.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 404-256-0268reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026