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.
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SEC-registered adviser
B•••• W••••• M••••••••• I••
Legal name B•••• W••••• M••••••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Feb 22, 2012 · 7 filings
SEC status approved since Jun 3, 2024
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
59%
$109M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$186M as of Feb 20, 2026
Feb 23, 2012$53.8M then
HNW client RAUM$13.3M as of Feb 20, 2026
Jan 21, 2025$85.3M then
State-registered IARs (5.B.3)1 as of Feb 20, 2026
Jan 21, 20251 then
Employees (5.A)1 as of Feb 20, 2026
Jan 21, 20251 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $283,833derivedHNW RAUM over HNW clients
- Average account
- $814,296derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $146,810, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$95.8M51%
- Pension and profit-sharing plans$52.7M28%
- Corporations and businesses$24.6M13%
- High-net-worth individuals$13.3M7.2%
- Individual clients
- 28reported
- HNW clients
- 47reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 229reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $146,810 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.59 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• A•••• B••••Certified Financial Planner, Personal Financial Specialist | Marvin, Nc | Aug 10, 2016 | 32 y | 1 |
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
- B•••• T••••• B••••••• to S•••••• R••• W••••• M••••••••• L••Jan 2, 2014 · Other
Joined, latest
- K••• A•••• B•••• from P•••••• F•••••••• P•••••••• L••Aug 10, 2016 · Other
- B•••• T••••• B••••••• from P•••••• F•••••••• P•••••••• L••May 22, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• K•••• A•••• · President, Chief Compliance Officer, Shareholdercontrolsince 01/2008 · owns 75% or more
Related persons
Schedule D 7.A
- K••• A•••• B••••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 20, 2026HNW share of RAUM moved from 54.0% to 7.0% between the annual amendments of 2025-01-21 and 2026-02-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 223 to 229Jan 21, 2025 to Feb 20, 2026
- HNW clients · 28 to 47Jan 21, 2025 to Feb 20, 2026
- Individual clients · 47 to 28Jan 21, 2025 to Feb 20, 2026
- Pension plan clients · 6 to 5Jan 21, 2025 to Feb 20, 2026
- Assets in custody · $12.9M to $146,810Jan 21, 2025 to Feb 20, 2026
- Discretionary RAUM · $157M to $186MJan 21, 2025 to Feb 20, 2026
- HNW RAUM · $85.3M to $13.3MJan 21, 2025 to Feb 20, 2026
- Individual RAUM · $11.8M to $95.8MJan 21, 2025 to Feb 20, 2026
- Pension RAUM · $45.6M to $52.7MJan 21, 2025 to Feb 20, 2026
- RAUM · $157M to $186MJan 21, 2025 to Feb 20, 2026
- Accounts · 201 to 223Apr 29, 2024 to Jan 21, 2025
- Corporate clients · 4.0 to unsetApr 29, 2024 to Jan 21, 2025
- HNW clients · 21 to 28Apr 29, 2024 to Jan 21, 2025
- Individual clients · 45 to 47Apr 29, 2024 to Jan 21, 2025
- Pension plan clients · 5 to 6Apr 29, 2024 to Jan 21, 2025
- Assets in custody · $6.4M to $12.9MApr 29, 2024 to Jan 21, 2025
- Financial planning clients · 1-10 to 11-25Apr 29, 2024 to Jan 21, 2025
- HQ city · unset to Apr 29, 2024 to Jan 21, 2025
- HQ state · unset to Apr 29, 2024 to Jan 21, 2025
- Discretionary RAUM · $127M to $157MApr 29, 2024 to Jan 21, 2025
- HNW RAUM · $58.5M to $85.3MApr 29, 2024 to Jan 21, 2025
- Individual RAUM · $10.9M to $11.8MApr 29, 2024 to Jan 21, 2025
- Pension RAUM · $42.2M to $45.6MApr 29, 2024 to Jan 21, 2025
- RAUM · $127M to $157MApr 29, 2024 to Jan 21, 2025
- Accounts · 233 to 201May 22, 2012 to Apr 29, 2024
- Advisory employees · unset to 1.0May 22, 2012 to Apr 29, 2024
- Advisory activities · 5 to 4May 22, 2012 to Apr 29, 2024
- Charity clients · unset to 0.0May 22, 2012 to Apr 29, 2024
- Corporate clients · unset to 4.0May 22, 2012 to Apr 29, 2024
- HNW clients · unset to 21.0May 22, 2012 to Apr 29, 2024
- Individual clients · unset to 45.0May 22, 2012 to Apr 29, 2024
- Pension plan clients · unset to 5.0May 22, 2012 to Apr 29, 2024
- Pooled vehicle clients · unset to 0.0May 22, 2012 to Apr 29, 2024
- Assets in custody · unset to 6442366.0May 22, 2012 to Apr 29, 2024
- Custody of client assets · false to trueMay 22, 2012 to Apr 29, 2024
- Employees · unset to 1.0May 22, 2012 to Apr 29, 2024
- HQ city · SAN DIEGO to unsetMay 22, 2012 to Apr 29, 2024
- HQ state · CA to unsetMay 22, 2012 to Apr 29, 2024
- State-registered IARs · unset to 1.0May 22, 2012 to Apr 29, 2024
- Legal name · B•••• W••••• M••••••••• I•• to B•••• W••••• M••••••••• I•••May 22, 2012 to Apr 29, 2024
Signals
1 dated events
- B•••• W••••• M••••••••• I•• filed its initial SEC registration (Form ADV)Apr 29, 2024 · First SEC registration · 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
- Principal office phone
- (760) 796-5550reportedpublic record, Form ADV, Feb 20, 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
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026