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•••• P•••••• W•••••• L••
Latest filing Mar 15, 2026
First filing on the tape Nov 16, 2011 · 44 filings
SEC status approved since Jan 27, 2016
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$233M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$61.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$244M as of Mar 15, 2026
Feb 8, 2012$44.0M then
HNW client RAUM$199M as of Mar 15, 2026
Jan 2, 2018$101M then
State-registered IARs (5.B.3)4 as of Mar 15, 2026
Feb 8, 20120 then
Employees (5.A)5 as of Mar 15, 2026
Feb 10, 20172 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 15, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $61.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $460,632derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 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
- +6.1%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
- Wrap fee program
- $244MreportedItem 5.I
- 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$199M82%
- Individuals$33.9M14%
- Pension and profit-sharing plans$4.5M1.8%
- Charitable organizations$3.9M1.6%
- Corporations and businesses$2.7M1.1%
- Individual clients
- 126reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 530reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• R••••• B•••• | Omaha, Ne | Feb 6, 2009 | 41 y | 2 |
| R•••••• L•• M•••••••• | Omaha, Ne | May 29, 2014 | 12 y | 0 |
| A•••• C••••••••• H••••••••Chartered Financial Analyst | Omaha, Ne | Feb 21, 2024 | 13 y | 2 |
| A••••• D•••• L•••• | Omaha, Ne | Dec 19, 2024 | 12 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
- A•••• C••••••••• H•••••••• from O•••• P•••••••• S••••••••• L••Feb 21, 2024 · Affiliated broker-dealer or bank to independent RIA
- D•••• R••••• B•••• from W•••• F•••• A•••••••Feb 6, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• R••••• · Chief Compliance Officer & Managing Membercontrolsince 02/2009 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Glen Allen, VA2 employees
- Omaha, NE1 employees
What changed
consecutive filings, newest first
- Accounts · 493 to 530Jun 17, 2025 to Feb 4, 2026
- Individual clients · 114 to 126Jun 17, 2025 to Feb 4, 2026
- Employees · 6 to 5Jun 17, 2025 to Feb 4, 2026
- Discretionary RAUM · $217M to $244MJun 17, 2025 to Feb 4, 2026
- HNW RAUM · $180M to $199MJun 17, 2025 to Feb 4, 2026
- Individual RAUM · $27.3M to $33.9MJun 17, 2025 to Feb 4, 2026
- Pension RAUM · $4.4M to $4.5MJun 17, 2025 to Feb 4, 2026
- RAUM · $217M to $244MJun 17, 2025 to Feb 4, 2026
- Financial planning clients · 1-10 to 1-10Jan 20, 2025 to Jun 17, 2025
- Accounts · 466 to 493Nov 14, 2024 to Jan 20, 2025
- Advisory employees · 3 to 4Nov 14, 2024 to Jan 20, 2025
- Corporate clients · 0.0 to unsetNov 14, 2024 to Jan 20, 2025
- HNW clients · 83 to 84Nov 14, 2024 to Jan 20, 2025
- Individual clients · 105 to 114Nov 14, 2024 to Jan 20, 2025
- Employees · 5 to 6Nov 14, 2024 to Jan 20, 2025
- Financial planning clients · 11-25 to 1-10Nov 14, 2024 to Jan 20, 2025
- State-registered IARs · 3 to 4Nov 14, 2024 to Jan 20, 2025
- Discretionary RAUM · $170M to $217MNov 14, 2024 to Jan 20, 2025
- HNW RAUM · $154M to $180MNov 14, 2024 to Jan 20, 2025
- Individual RAUM · $21.9M to $27.3MNov 14, 2024 to Jan 20, 2025
- Non-discretionary RAUM · $13.0M to $0Nov 14, 2024 to Jan 20, 2025
- Pension RAUM · $3.8M to $4.4MNov 14, 2024 to Jan 20, 2025
- RAUM · $183M to $217MNov 14, 2024 to Jan 20, 2025
- Advisory employees · 2 to 3Feb 21, 2024 to Nov 14, 2024
- Employees · 3 to 5Feb 21, 2024 to Nov 14, 2024
- State-registered IARs · 2 to 3Feb 21, 2024 to Nov 14, 2024
- Other offices · 3 to 2Feb 21, 2024 to Nov 14, 2024
- Other offices · 2 to 3Feb 9, 2024 to Feb 21, 2024
- Accounts · 408 to 466Mar 13, 2023 to Feb 9, 2024
- HNW clients · 86 to 83Mar 13, 2023 to Feb 9, 2024
- Individual clients · 99 to 105Mar 13, 2023 to Feb 9, 2024
- Financial planning clients · 1-10 to 11-25Mar 13, 2023 to Feb 9, 2024
- Other offices · 3 to 2Mar 13, 2023 to Feb 9, 2024
- Discretionary RAUM · $162M to $170MMar 13, 2023 to Feb 9, 2024
- HNW RAUM · $137M to $154MMar 13, 2023 to Feb 9, 2024
- Individual RAUM · $20.0M to $21.9MMar 13, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $4,401 to $13.0MMar 13, 2023 to Feb 9, 2024
- Pension RAUM · $3.5M to $3.8MMar 13, 2023 to Feb 9, 2024
- RAUM · $162M to $183MMar 13, 2023 to Feb 9, 2024
- Accounts · 514 to 408Dec 22, 2022 to Jan 9, 2023
Signals
1 dated events
- B•••• • Y•••• I••••••••• G•••• L•• filed its initial SEC registration (Form ADV)Jan 19, 2016 · 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
- Business phone
- 402-677-7528reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-880-0813reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-670-4745reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/bazis-young-investment-group-llc/?viewAreportedpublic record, Form ADV, Sep 18, 2026
- Website
- baziswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-965-3334reportedpublic record, Form ADV, Mar 15, 2026
- Contact form
- baziswealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- baziswealth.com/team/rich-mcginnessreportedpublished 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
- $61.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026