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••••••• C•••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape May 2, 2025 · 2 filings
SEC status approved since May 5, 2025
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$64.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$128M as of Mar 12, 2026
May 2, 2025$100M then
HNW client RAUM$66.2M as of Mar 12, 2026
May 2, 2025$52.8M then
State-registered IARs (5.B.3)3 as of Mar 12, 2026
May 2, 20252 then
Employees (5.A)5 as of Mar 12, 2026
May 2, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 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
- RAUM per advisor
- $64.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 177derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $167,520derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $933,803, 4 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
- High-net-worth individuals$66.2M52%
- Individuals$53.4M42%
- Charitable organizations$6.4M5.0%
- Corporations and businesses$2.5M1.9%
- Individual clients
- 322reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 767reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $933,803 for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• J•••• P•••••• | Ellsworth, Ks | Sep 24, 2009 | 17 y | 0 |
| N••••••• J• R•••••• | Ellsworth, Ks | Jan 17, 2023 | 13 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• A••••• R••• · Chief Compliance Officercontrolsince 05/2025 · owns less than 5%
- P••••••• R•••• J•••• · Presidentcontrolsince 01/2009 · owns less than 5%
Entity owners
- R••• A•• A•••• P•••••• T•••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Ellsworth, Ks · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 12, 2026financial planning (Item 5.G.1): no on the filing of 2025-05-02, yes on the filing of 2026-03-12peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 685 to 767May 2, 2025 to Mar 12, 2026
- Advisory employees · 2 to 3May 2, 2025 to Mar 12, 2026
- Advisory activities · 1 to 2May 2, 2025 to Mar 12, 2026
- Corporate clients · 5 to 10May 2, 2025 to Mar 12, 2026
- HNW clients · 41 to 32May 2, 2025 to Mar 12, 2026
- Individual clients · 284 to 322May 2, 2025 to Mar 12, 2026
- Assets in custody · $1.6M to $933,803May 2, 2025 to Mar 12, 2026
- Employees · 4 to 5May 2, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 1-10May 2, 2025 to Mar 12, 2026
- State-registered IARs · 2 to 3May 2, 2025 to Mar 12, 2026
- Discretionary RAUM · $100M to $128MMay 2, 2025 to Mar 12, 2026
- HNW RAUM · $52.8M to $66.2MMay 2, 2025 to Mar 12, 2026
- Individual RAUM · $40.7M to $53.4MMay 2, 2025 to Mar 12, 2026
- RAUM · $100M to $128MMay 2, 2025 to Mar 12, 2026
Signals
No event on the tape.
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
- 785-472-2375reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 913-444-0722reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/berkeley-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (785) 472-2375reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- b•••••••••.comreportedpublished 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
- $64.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026