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
Bell Rock Capital, LLC
Latest filing Jul 19, 2023
First filing on the tape Feb 6, 2012 · 45 filings
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$193M as of Feb 21, 2023
Feb 6, 2012$223M then
HNW client RAUM$128M as of Feb 21, 2023
Mar 27, 2018$123M then
State-registered IARs (5.B.3)2 as of Feb 21, 2023
Jan 31, 20132 then
Employees (5.A)6 as of Feb 21, 2023
Jan 31, 20134 then
Private funds: no history
RAUM -19% over the last fiscal year+3.6% a year over threeIARs 3 to 2offices 3 to 2
Practice profile
derived from the filing of Jul 19, 2023; every figure names its basis
- RAUM per advisor
- $96.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $269,921derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $1.0M, 9 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M67%
- Individuals$48.0M25%
- Pension and profit-sharing plans$16.3M8.5%
- Individual clients
- 233reported
- HNW clients
- 58reported
- Pension plan clients
- 69reported
- Charitable clients
- n/areported
- Accounts
- 714reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Jacquelyn Kerry Blue to Bryn Mawr Trust Advisors, LLCAug 9, 2023 · RIA to RIA
- Sara L Lawson to Bryn Mawr Trust Advisors, LLCAug 9, 2023 · RIA to RIA
- Andres Felipe Bonell to Bryn Mawr Trust Advisors, LLCAug 9, 2023 · RIA to RIA
- Jacqueline Reeves to Bryn Mawr Trust Advisors, LLCAug 9, 2023 · RIA to RIA
- Douglas Carpenter Mccoy to Montchanin Asset Management, LLCJun 28, 2019 · RIA to RIA
- Kirsten Julia Lopez to Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 24, 2012 · Other
Joined, latest
- Douglas Carpenter Mccoy from Montchanin Asset Management, LLCMar 30, 2017 · Other
- Sara L Lawson from Invest Financial CorporationOct 16, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Bryn Mawr Trust Advisors, LLCAug 9, 2023 · Rehoboth Beach, De · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kerry Jacquelyn Blue · Chief Financial Officer, Chief Operations Officer, Chief Compliance Officer (Cco Effective July 1, 2019)controlsince 01/2010 · owns less than 5%
- Jacqueline Reeves · Managing Directorcontrolsince 02/2021 · owns less than 5%
- Cassandra Marguerite Toroian · Managing Membercontrolsince 10/2005 · owns 75% or more
Entity owners
- Malvern Bank National Association · Memberdirect · owns 10% to 25% · public reporting company
Related persons
Schedule D 7.A
- Andres Felipe Bonellinvestment companyy
- Bell Rock Insurance Agency, LLCreal estatey
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 3 to 2Feb 21, 2023 to Jul 19, 2023
- Accounts · 735 to 714Sep 14, 2022 to Feb 21, 2023
- Advisory employees · 6 to 5Sep 14, 2022 to Feb 21, 2023
- HNW clients · 39 to 58Sep 14, 2022 to Feb 21, 2023
- Individual clients · 261 to 233Sep 14, 2022 to Feb 21, 2023
- Pension plan clients · 83 to 69Sep 14, 2022 to Feb 21, 2023
- Assets in custody · $39.1M to $1.0MSep 14, 2022 to Feb 21, 2023
- Financial planning clients · 1-10 to 0Sep 14, 2022 to Feb 21, 2023
- State-registered IARs · 3 to 2Sep 14, 2022 to Feb 21, 2023
- Discretionary RAUM · $238M to $193MSep 14, 2022 to Feb 21, 2023
- HNW RAUM · $133M to $128MSep 14, 2022 to Feb 21, 2023
- Individual RAUM · $84.5M to $48.0MSep 14, 2022 to Feb 21, 2023
- Pension RAUM · $20.1M to $16.3MSep 14, 2022 to Feb 21, 2023
- RAUM · $238M to $193MSep 14, 2022 to Feb 21, 2023
- Accounts · 795 to 735Oct 27, 2021 to Feb 3, 2022
- Advisory employees · 5 to 6Oct 27, 2021 to Feb 3, 2022
- HNW clients · 29 to 39Oct 27, 2021 to Feb 3, 2022
- Individual clients · 249 to 261Oct 27, 2021 to Feb 3, 2022
- Pension plan clients · 194 to 83Oct 27, 2021 to Feb 3, 2022
- Assets in custody · $33.3M to $39.1MOct 27, 2021 to Feb 3, 2022
- Employees · 9 to 6Oct 27, 2021 to Feb 3, 2022
- Financial planning clients · 0 to 1-10Oct 27, 2021 to Feb 3, 2022
- State-registered IARs · 5 to 3Oct 27, 2021 to Feb 3, 2022
- Discretionary RAUM · $199M to $238MOct 27, 2021 to Feb 3, 2022
- HNW RAUM · $86.7M to $133MOct 27, 2021 to Feb 3, 2022
- Individual RAUM · $91.1M to $84.5MOct 27, 2021 to Feb 3, 2022
- Pension RAUM · $20.9M to $20.1MOct 27, 2021 to Feb 3, 2022
- RAUM · $199M to $238MOct 27, 2021 to Feb 3, 2022
- Accounts · 754 to 795Nov 4, 2020 to Feb 19, 2021
- Advisory employees · 6 to 5Nov 4, 2020 to Feb 19, 2021
- HNW clients · 33 to 29Nov 4, 2020 to Feb 19, 2021
- Individual clients · 231 to 249Nov 4, 2020 to Feb 19, 2021
- Pension plan clients · 182 to 194Nov 4, 2020 to Feb 19, 2021
- Assets in custody · $5.2M to $33.3MNov 4, 2020 to Feb 19, 2021
- State-registered IARs · 6 to 5Nov 4, 2020 to Feb 19, 2021
- Discretionary RAUM · $173M to $199MNov 4, 2020 to Feb 19, 2021
- HNW RAUM · $89.6M to $86.7MNov 4, 2020 to Feb 19, 2021
- Individual RAUM · $64.3M to $91.1MNov 4, 2020 to Feb 19, 2021
- Pension RAUM · $19.5M to $20.9MNov 4, 2020 to Feb 19, 2021
- RAUM · $173M to $199MNov 4, 2020 to Feb 19, 2021
Signals
6 dated events
- Andres Felipe Bonell left Bell Rock Capital, Llc for Bryn Mawr Trust Advisors, Llc (registered 2023-08-24)Aug 9, 2023 · Advisor changed firm · fact
- Sara L Lawson left Bell Rock Capital, Llc for Bryn Mawr Trust Advisors, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Jacqueline Reeves left Bell Rock Capital, Llc for Bryn Mawr Trust Advisors, Llc (registered 2023-08-28)Aug 9, 2023 · Advisor changed firm · fact
- Jacquelyn Kerry Blue left Bell Rock Capital, Llc for Bryn Mawr Trust Advisors, Llc (registered 2023-08-08)Aug 9, 2023 · Advisor changed firm · fact
- Bell Rock Capital, LLC's advisors moved to Bryn Mawr Trust Advisors, LLC (Rehoboth Beach, DE): 3 of 4 registered, on the same dayAug 9, 2023 · Firm absorbed (people side) · derived
- Jacqueline Reeves (Managing Director) appeared on Schedule A of Bell Rock Capital, LlcFeb 19, 2021 · 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.
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