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

Beacon Pointe Wealth Advisors, LLC

Former SEC-registered adviserNewport Beach, CaliforniaCRD 151328SEC 801-70550IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 30, 2012 · 50 filings
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$3.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
103
68 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$3.2B as of Mar 30, 2020
Mar 30, 2012$164M then
HNW client RAUM$2.4B as of Mar 30, 2020
Mar 30, 2018$1.6B then
State-registered IARs (5.B.3)66 as of Mar 30, 2020
Mar 28, 201313 then
Employees (5.A)103 as of Mar 30, 2020
Mar 28, 201320 then
Private funds: no history
RAUM +46% over the last fiscal year+22% a year over threeIARs 55 to 66offices 16 to 19
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
RAUM per advisor
$48.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$334,384derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
3.3derived20 offices incl. principal (1.F.5)
RAUM growth, one year
+46%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+19%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$992M, 660 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.4B75%
  • Individuals$577M18%
  • Corporations and businesses$169M5.3%
  • Charitable organizations$37.4M1.2%
  • Pension and profit-sharing plans$12.7M0.4%
Individual clients
1,531reported
HNW clients
842reported
Pension plan clients
18reported
Charitable clients
11reported
Accounts
9,591reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$992M for 660 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Baird Matthew Cooper · President, Manager, Class A Membercontrol
    since 07/2009 · owns 5% to 10%
  • Gaffney Michael Dow · Chief Investment Officercontrol
    since 11/2018 · owns less than 5%
  • Elizabeth Shannon Eusey · Manager, Chief Compliance Officercontrol
    since 07/2009 · owns less than 5%
  • Marilyn Diane Peck · Chief Financial Officercontrol
    since 08/2015 · owns less than 5%
  • Ryhiner Laine Ainsworth · Membercontrol
    since 01/2017 · owns 25% to 50% of Ocie Ownership, LLC
  • Ferrill James Davenport · Membercontrol
    since 07/2017 · owns 25% to 50% of Ocie Ownership, LLC
  • Edward Richard Eusey · Trusteecontrol
    since 07/2006 · owns F of The Richard And Shannon Eusey Trust
  • Elizabeth Shannon Eusey · Trusteecontrol
    since 07/2006 · owns F of The Richard And Shannon Eusey Trust
  • Vincent Mark Mathers · Membercontrol
    since 07/2016 · owns 75% or more of Bpwa-Boston Ownership, LLC
  • Alan Bruce Meyer · Membercontrol
    since 01/2015 · owns 50% to 75% of Bpwa-Az Ownership, LLC
  • Louis Mark Moehlman · Membercontrol
    since 01/2017 · owns 25% to 50% of Ocie Ownership, LLC
Entity owners
  • Beacon Pointe Holdings, LLC · Class A Member
    direct · owns 25% to 50%
  • The Richard And Shannon Eusey Trust · Member
    indirect · owns 25% to 50% of Beacon Pointe Holdings, LLC
  • Bpwa-Az Ownership, LLC · Class B Member
    direct · owns 10% to 25%
  • Bpwa-Boston Ownership, LLC · Class B Member
    direct · owns 10% to 25%
  • Ocie Ownership, LLC · Class B Member
    direct · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Scottsdale, AZ14 employees
  • Campbell, CA10 employees
  • Summit, NJ7 employees
  • Waltham, MA6 employees
  • Newport Beach, CA5 employees
  • Plano, TX4 employees
  • Riverside, CA4 employees
  • Bala Cynwyd, PA4 employees
  • Santa Barbara, CA3 employees
  • Fresno, CA3 employees
  • Los Angeles, CA3 employees
  • Westlake Village, CA2 employees
  • Palm Desert, CA2 employees
  • New York, NY1 employees
  • Houston, TX1 employees
  • Edina, MN1 employees
  • Tulsa, OK1 employees
  • Denver, CO1 employees
  • Albuquerque, NM1 employees
What changed
consecutive filings, newest first
  • Accounts · 7,761 to 9,591
    Nov 19, 2019 to Mar 30, 2020
  • Advisory employees · 45 to 68
    Nov 19, 2019 to Mar 30, 2020
  • BD registered reps · 4 to 2
    Nov 19, 2019 to Mar 30, 2020
  • Charity clients · 12 to 11
    Nov 19, 2019 to Mar 30, 2020
  • Corporate clients · 23 to 19
    Nov 19, 2019 to Mar 30, 2020
  • HNW clients · 608 to 842
    Nov 19, 2019 to Mar 30, 2020
  • Individual clients · 1,388 to 1,531
    Nov 19, 2019 to Mar 30, 2020
  • Pension plan clients · 13 to 18
    Nov 19, 2019 to Mar 30, 2020
  • Assets in custody · $0 to $992M
    Nov 19, 2019 to Mar 30, 2020
  • Employees · 80 to 103
    Nov 19, 2019 to Mar 30, 2020
  • Insurance-licensed employees · 39 to 52
    Nov 19, 2019 to Mar 30, 2020
  • Financial planning clients · 251-500 to 101-250
    Nov 19, 2019 to Mar 30, 2020
  • State-registered IARs · 55 to 66
    Nov 19, 2019 to Mar 30, 2020
  • Discretionary RAUM · $2.1B to $3.2B
    Nov 19, 2019 to Mar 30, 2020
  • HNW RAUM · $1.5B to $2.4B
    Nov 19, 2019 to Mar 30, 2020
  • Individual RAUM · $523M to $577M
    Nov 19, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $55.1M to $10.5M
    Nov 19, 2019 to Mar 30, 2020
  • Pension RAUM · $10.9M to $12.7M
    Nov 19, 2019 to Mar 30, 2020
  • RAUM · $2.2B to $3.2B
    Nov 19, 2019 to Mar 30, 2020
  • Other offices · 18 to 19
    Jun 27, 2019 to Nov 19, 2019
  • Assets in custody · unset to 0.0
    Mar 26, 2019 to Apr 24, 2019
  • Custody of client assets · false to true
    Mar 26, 2019 to Apr 24, 2019
  • Other offices · 16 to 18
    Mar 26, 2019 to Apr 24, 2019
  • Accounts · 7,399 to 7,761
    Jan 31, 2019 to Mar 26, 2019
  • Advisory activities · 6 to 5
    Jan 31, 2019 to Mar 26, 2019
  • BD registered reps · 2 to 4
    Jan 31, 2019 to Mar 26, 2019
  • Charity clients · 6 to 12
    Jan 31, 2019 to Mar 26, 2019
  • Corporate clients · 16 to 23
    Jan 31, 2019 to Mar 26, 2019
  • HNW clients · 618 to 608
    Jan 31, 2019 to Mar 26, 2019
  • Individual clients · 1,294 to 1,388
    Jan 31, 2019 to Mar 26, 2019
  • Pension plan clients · 12 to 13
    Jan 31, 2019 to Mar 26, 2019
  • Pooled vehicle clients · 1.0 to unset
    Jan 31, 2019 to Mar 26, 2019
  • Employees · 69 to 80
    Jan 31, 2019 to Mar 26, 2019
  • Insurance-licensed employees · 32 to 39
    Jan 31, 2019 to Mar 26, 2019
  • State-registered IARs · 45 to 55
    Jan 31, 2019 to Mar 26, 2019
  • Discretionary RAUM · $2.2B to $2.1B
    Jan 31, 2019 to Mar 26, 2019
  • HNW RAUM · $1.6B to $1.5B
    Jan 31, 2019 to Mar 26, 2019
  • Individual RAUM · $513M to $523M
    Jan 31, 2019 to Mar 26, 2019
  • Non-discretionary RAUM · $7.9M to $55.1M
    Jan 31, 2019 to Mar 26, 2019
  • Pension RAUM · $5.8M to $10.9M
    Jan 31, 2019 to Mar 26, 2019
Signals
9 dated events
  • Beacon Pointe Wealth Advisors, Llc reported 66 state-registered advisory representatives, up from 55 (2019-11-19 to 2020-03-30)
    Mar 30, 2020 · Advisor headcount change · derived
  • Beacon Pointe Wealth Advisors, Llc reported RAUM $3.2B, up 46% from $2.2B (2019-11-19 to 2020-03-30)
    Mar 30, 2020 · RAUM change · derived
  • Raghavan Chitra Staley (Member) no longer on Schedule A of Beacon Pointe Wealth Advisors, Llc (listed 2019-11-19, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Vincent Mark Mathers (Member) appeared on Schedule A of Beacon Pointe Wealth Advisors, Llc
    Mar 30, 2020 · Control person joined · fact
  • Ryhiner Laine Ainsworth (Member) appeared on Schedule A of Beacon Pointe Wealth Advisors, Llc
    Mar 30, 2020 · Control person joined · fact
  • Louis Mark Moehlman (Member) appeared on Schedule A of Beacon Pointe Wealth Advisors, Llc
    Mar 30, 2020 · Control person joined · fact
  • Ferrill James Davenport (Member) appeared on Schedule A of Beacon Pointe Wealth Advisors, Llc
    Mar 30, 2020 · Control person joined · fact
  • Beacon Pointe Wealth Advisors, Llc reported 55 state-registered advisory representatives, up from 45 (2019-01-31 to 2019-03-26)
    Mar 26, 2019 · Advisor headcount change · derived
  • Beacon Pointe Wealth Advisors, Llc reported RAUM $2.3B, up 26% from $1.8B (2017-11-28 to 2018-03-30)
    Mar 30, 2018 · RAUM change · derived
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