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
Byron Financial, LLC
Latest filing Aug 7, 2024
First filing on the tape Mar 14, 2012 · 30 filings
RAUM
$600M
reported, Item 5.F
Discretionary
2.2%
of RAUM
Private clients
86%
$516M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$600M as of Mar 26, 2024
Mar 14, 2012$113M then
HNW client RAUM$512M as of Mar 26, 2024
Mar 19, 2018$290M then
State-registered IARs (5.B.3)2 as of Mar 26, 2024
Mar 13, 20131 then
Employees (5.A)6 as of Mar 26, 2024
Mar 13, 20139 then
Private funds: no history
RAUM +7.2% over the last fiscal year+4.0% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Aug 7, 2024; every figure names its basis
- RAUM per advisor
- $300MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.2%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $520M, 73 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$512M85%
- Corporations and businesses$77.4M13%
- Individuals$4.2M0.7%
- Pension and profit-sharing plans$3.9M0.6%
- Charitable organizations$2.7M0.4%
- Individual clients
- 12reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 476reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $520M for 73 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Joshua Scott Mayor to CorientAug 27, 2024 · RIA to RIA
- William Mccomas Byron to CorientAug 27, 2024 · RIA to RIA
- Kollin Schrenk to PathstoneMar 1, 2024 · RIA to RIA
- Michael Patrick Keen to MarinerOct 23, 2023 · RIA to affiliated broker-dealer or bank
- Matthew Alan Batson to Fisher InvestmentsMay 18, 2021 · RIA to RIA
- Philip Rees Brody to Cwa Asset Management GroupApr 1, 2014 · Other
Joined, latest
- Michael Patrick Keen from Vanguard Advisers, Inc.Jul 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- Matthew Alan Batson from UBS Financial Services Inc.Nov 16, 2020 · Wirehouse to independent RIA
- Joshua Scott Mayor from Greerwalker Wealth LLCApr 3, 2014 · Other
- Philip Rees Brody from Nfp Advisor Services, LLCJan 29, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Chad Stephen Estep · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
Entity owners
- Corient · Ownerdirect · owns 75% or more
- Ci Financial Corp. · Ownerindirect · owns 75% or more of Corient Holdings Inc · public reporting company
- Corient Holdings Inc · Ownerindirect · owns 75% or more of Corient Management LLC
- Corient Management LLC · Ownerindirect · owns 75% or more of Corient Partners LLC
- Corient Partners LLC · Ownerindirect · owns 75% or more of Corient
Related persons
Schedule D 7.A
- Corientinvestment adviseryRAUM $165B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 26, 2024 to Aug 6, 2024
- Accounts · 404 to 476Mar 24, 2023 to Mar 26, 2024
- Advisory employees · 4 to 2Mar 24, 2023 to Mar 26, 2024
- Corporate clients · 9 to 10Mar 24, 2023 to Mar 26, 2024
- HNW clients · 80 to 81Mar 24, 2023 to Mar 26, 2024
- Individual clients · 8 to 12Mar 24, 2023 to Mar 26, 2024
- Employees · 7 to 6Mar 24, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 2Mar 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $12.1M to $13.2MMar 24, 2023 to Mar 26, 2024
- HNW RAUM · $479M to $512MMar 24, 2023 to Mar 26, 2024
- Individual RAUM · $3.5M to $4.2MMar 24, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $548M to $587MMar 24, 2023 to Mar 26, 2024
- Pension RAUM · $3.3M to $3.9MMar 24, 2023 to Mar 26, 2024
- RAUM · $560M to $600MMar 24, 2023 to Mar 26, 2024
- Accounts · 320 to 404Mar 21, 2022 to Mar 24, 2023
- Advisory employees · 3 to 4Mar 21, 2022 to Mar 24, 2023
- Corporate clients · unset to 9.0Mar 21, 2022 to Mar 24, 2023
- HNW clients · 85 to 80Mar 21, 2022 to Mar 24, 2023
- Individual clients · unset to 8.0Mar 21, 2022 to Mar 24, 2023
- Employees · 6 to 7Mar 21, 2022 to Mar 24, 2023
- Financial planning clients · 1-10 to 0Mar 21, 2022 to Mar 24, 2023
- State-registered IARs · 3 to 4Mar 21, 2022 to Mar 24, 2023
- Discretionary RAUM · $14.2M to $12.1MMar 21, 2022 to Mar 24, 2023
- HNW RAUM · $577M to $479MMar 21, 2022 to Mar 24, 2023
- Individual RAUM · $479,753 to $3.5MMar 21, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $581M to $548MMar 21, 2022 to Mar 24, 2023
- Pension RAUM · $3.3M to $3.3MMar 21, 2022 to Mar 24, 2023
- RAUM · $595M to $560MMar 21, 2022 to Mar 24, 2023
- Accounts · 370 to 320Sep 30, 2021 to Mar 21, 2022
- HNW clients · 78 to 85Sep 30, 2021 to Mar 21, 2022
- Assets in custody · $440M to $520MSep 30, 2021 to Mar 21, 2022
- Financial planning clients · 0 to 1-10Sep 30, 2021 to Mar 21, 2022
- Discretionary RAUM · $0 to $14.2MSep 30, 2021 to Mar 21, 2022
- HNW RAUM · $517M to $577MSep 30, 2021 to Mar 21, 2022
- Individual RAUM · $443,165 to $479,753Sep 30, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $534M to $581MSep 30, 2021 to Mar 21, 2022
- Pension RAUM · $2.9M to $3.3MSep 30, 2021 to Mar 21, 2022
- RAUM · $534M to $595MSep 30, 2021 to Mar 21, 2022
- Accounts · 382 to 370Feb 1, 2021 to Mar 17, 2021
- Charity clients · 1.0 to unsetFeb 1, 2021 to Mar 17, 2021
Signals
8 dated events
- William Mccomas Byron left Byron Financial, Llc for Corient (registered 2024-08-07)Aug 27, 2024 · Advisor changed firm · fact
- Joshua Scott Mayor left Byron Financial, Llc for Corient (registered 2024-08-07)Aug 27, 2024 · Advisor changed firm · fact
- 2 advisors left Byron Financial, LLC (Charlotte, NC) for Corient on the same dayAug 27, 2024 · Team lift-out · derived
- Chad Stephen Estep (Chief Compliance Officer) appeared on Schedule A of Byron Financial, LlcAug 6, 2024 · Control person joined · fact
- Mccomas William Byron (Majority Owner) no longer on Schedule A of Byron Financial, Llc (listed 2024-03-26, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- Scott Joshua Mayor (Minority Owner & Chief Compliance Officer) no longer on Schedule A of Byron Financial, Llc (listed 2024-03-26, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- Kollin Schrenk left Byron Financial, Llc for Pathstone (registered 2024-06-03)Mar 1, 2024 · Advisor changed firm · fact
- Michael Patrick Keen left Byron Financial, Llc for Mariner (registered 2023-11-01)Oct 23, 2023 · Advisor changed firm · 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