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

Bellatore Financial, Inc.

Independent wealth managerThe Woodlands, TexasCRD 143543SEC 801-68251websiteIAPD
Latest filing Sep 5, 2026
First filing on the tape Dec 2, 2011 · 37 filings
SEC status approved since Sep 4, 2007
RAUM
$639M
reported, Item 5.F
Discretionary
2.6%
of RAUM
Private clients
91%
$582M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$639M
derived; firm RAUM over IAPD count
Employees
3
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$639M as of Mar 16, 2026
Mar 30, 2012$436M then
HNW client RAUM$452M as of Mar 16, 2026
Mar 27, 2018$267M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 16, 2026
Mar 26, 20138 then
Private funds1 as of Mar 16, 2026
Nov 18, 20251 then
RAUM +13% over the last fiscal year+8.8% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Sep 5, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$639MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
547derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$368,980derivedRAUM over accounts (5.F.2.f)
Discretionary
2.6%derivedof RAUM
Institutional
5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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$452M71%
  • Individuals$131M20%
  • Charitable organizations$34.7M5.4%
  • Corporations and businesses$21.6M3.4%
Individual clients
353reported
HNW clients
194reported
Pension plan clients
n/areported
Charitable clients
8reported
Accounts
1,731reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.91 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Matthew Thomas HarveyCertified Financial PlannerThe Woodlands, TxMay 2, 202311 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Edward Charles Deases · Board Membercontrol
    since 09/2014 · owns less than 5%
  • Arlen Larry Harvey · Ceo, Chairman Of The Boardcontrol
    since 11/2010 · owns 5% to 10%
  • John Henry Pizzutello · Chief Investment Officer, Chief Compliance Officercontrol
    since 09/2020 · owns less than 5%
  • Arlen Larry Harvey · Chairman And Presidentcontrol
    since 12/2013 · owns 50% to 75% of Bellatore Holdings, Inc.
  • Francis Walter Burns · Shareholder
    since 12/2011 · owns 5% to 10%
  • Joseph Jonathan Scheid · Shareholder
    since 06/2018 · owns 10% to 25%
Entity owners
  • Bellatore Holdings, Inc. · Shareholder
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Advisers that list Bellatore Financial, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Insurance-licensed employees · 1 to 2
    Mar 16, 2026 to Sep 5, 2026
  • Financial planning clients · to unset
    Mar 16, 2026 to Sep 5, 2026
  • State-registered IARs · 1 to 2
    Mar 16, 2026 to Sep 5, 2026
  • Private funds · 1 to unset
    Mar 16, 2026 to Sep 5, 2026
  • Succession · false to unset
    Mar 16, 2026 to Sep 5, 2026
  • Accounts · 1,739 to 1,731
    Nov 18, 2025 to Mar 16, 2026
  • Charity clients · 9 to 8
    Nov 18, 2025 to Mar 16, 2026
  • HNW clients · 195 to 194
    Nov 18, 2025 to Mar 16, 2026
  • Individual clients · 374 to 353
    Nov 18, 2025 to Mar 16, 2026
  • Employees · 4 to 3
    Nov 18, 2025 to Mar 16, 2026
  • Discretionary RAUM · $20.0M to $16.4M
    Nov 18, 2025 to Mar 16, 2026
  • HNW RAUM · $399M to $452M
    Nov 18, 2025 to Mar 16, 2026
  • Individual RAUM · $116M to $131M
    Nov 18, 2025 to Mar 16, 2026
  • Non-discretionary RAUM · $545M to $622M
    Nov 18, 2025 to Mar 16, 2026
  • RAUM · $565M to $639M
    Nov 18, 2025 to Mar 16, 2026
  • Private funds · unset to 1
    Mar 12, 2025 to Nov 18, 2025
  • Accounts · 1,717 to 1,739
    Jul 1, 2024 to Mar 12, 2025
  • Charity clients · 11 to 9
    Jul 1, 2024 to Mar 12, 2025
  • Corporate clients · 11 to 6
    Jul 1, 2024 to Mar 12, 2025
  • HNW clients · 780 to 195
    Jul 1, 2024 to Mar 12, 2025
  • Individual clients · 914 to 374
    Jul 1, 2024 to Mar 12, 2025
  • Pension plan clients · 1.0 to unset
    Jul 1, 2024 to Mar 12, 2025
  • Financial planning clients · unset to
    Jul 1, 2024 to Mar 12, 2025
  • Discretionary RAUM · $17.0M to $20.0M
    Jul 1, 2024 to Mar 12, 2025
  • HNW RAUM · $392M to $399M
    Jul 1, 2024 to Mar 12, 2025
  • Individual RAUM · $116M to $116M
    Jul 1, 2024 to Mar 12, 2025
  • Non-discretionary RAUM · $496M to $545M
    Jul 1, 2024 to Mar 12, 2025
  • Pension RAUM · 73309.0 to unset
    Jul 1, 2024 to Mar 12, 2025
  • RAUM · $513M to $565M
    Jul 1, 2024 to Mar 12, 2025
  • HQ city · PLEASANT HILL to THE WOODLANDS
    Mar 13, 2024 to Jul 1, 2024
  • HQ state · CA to TX
    Mar 13, 2024 to Jul 1, 2024
  • Accounts · 1,700 to 1,717
    Mar 30, 2023 to Mar 13, 2024
  • Charity clients · 8 to 11
    Mar 30, 2023 to Mar 13, 2024
  • Corporate clients · 18 to 11
    Mar 30, 2023 to Mar 13, 2024
  • HNW clients · 882 to 780
    Mar 30, 2023 to Mar 13, 2024
  • Individual clients · 789 to 914
    Mar 30, 2023 to Mar 13, 2024
  • Pension plan clients · 3 to 1
    Mar 30, 2023 to Mar 13, 2024
  • Discretionary RAUM · $15.1M to $17.0M
    Mar 30, 2023 to Mar 13, 2024
  • HNW RAUM · $401M to $392M
    Mar 30, 2023 to Mar 13, 2024
  • Individual RAUM · $78.8M to $116M
    Mar 30, 2023 to Mar 13, 2024
Signals
4 dated events
  • Barclift Robert Borden (Chief Compliance Officer) no longer on Schedule A of Bellatore Financial, Inc. (listed 2020-06-18, absent 2020-09-30)
    Sep 30, 2020 · Control person left · inference
  • (Nmn) Lawrence Cowen (Secretary And Board Member) no longer on Schedule A of Bellatore Financial, Inc. (listed 2019-03-27, absent 2019-06-13)
    Jun 13, 2019 · Control person left · inference
  • Gregory Kevin Bruce (President, Cio, Cco) no longer on Schedule A of Bellatore Financial, Inc. (listed 2018-07-10, absent 2019-01-03)
    Jan 3, 2019 · Control person left · inference
  • Barclift Robert Borden (Cco, Interim Cio) appeared on Schedule A of Bellatore Financial, Inc.
    Jan 3, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business phone
408-998-7700reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile
linkedin.com/company/bellatorereportedpublic record, Form ADV, Sep 17, 2026
Website
bellatore.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
877-242-9949reportedpublic record, Form ADV, Sep 5, 2026
Contact form
bellatore.com/contactreportedpublished by the firm, firm site, Sep 16, 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
$639Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026