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
Copper Beech Wealth Management
Legal name Copper Beech Tree LLC
Latest filing Mar 22, 2017
First filing on the tape Nov 18, 2011 · 10 filings
RAUM
$95.1M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$95.1M as of Mar 22, 2017
Feb 27, 2012$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 22, 2017
Feb 27, 20120 then
Employees (5.A)4 as of Mar 22, 2017
Mar 1, 20133 then
Private funds: no history
RAUM -52% over the last fiscal year-27% a year over threeIARs 5 to 2
Practice profile
derived from the filing of Mar 22, 2017; every figure names its basis
- RAUM per advisor
- $47.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $299,005derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -52%derivedbetween the last two annual amendments
- Advisor growth, one year
- -60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 318reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- David Berry to Sequoia Financial Group, L.L.C.Sep 2, 2016 · Other
- John Parise to Family Office Partners, Inc.Dec 3, 2010 · Other
- Salvatore John Cocivera to Cora Capital AdvisorsDec 3, 2010 · Other
Joined, latest
- John Parise from American Portfolios Advisors, IncDec 16, 2009 · Other
- Salvatore John Cocivera from American Portfolios Advisors, IncDec 7, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James William Brown · Ceo, Membercontrolsince 08/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 341 to 318Dec 16, 2016 to Mar 22, 2017
- Advisory employees · 5 to 2Dec 16, 2016 to Mar 22, 2017
- Advisory activities · 4 to 3Dec 16, 2016 to Mar 22, 2017
- BD registered reps · 4 to 2Dec 16, 2016 to Mar 22, 2017
- Employees · 5 to 4Dec 16, 2016 to Mar 22, 2017
- Insurance-licensed employees · 2 to 1Dec 16, 2016 to Mar 22, 2017
- State-registered IARs · 5 to 2Dec 16, 2016 to Mar 22, 2017
- Discretionary RAUM · $105M to $92.6MDec 16, 2016 to Mar 22, 2017
- Non-discretionary RAUM · $3.4M to $2.5MDec 16, 2016 to Mar 22, 2017
- RAUM · $108M to $95.1MDec 16, 2016 to Mar 22, 2017
- Accounts · 144 to 341Apr 19, 2016 to Oct 11, 2016
- Discretionary RAUM · $139M to $105MApr 19, 2016 to Oct 11, 2016
- Non-discretionary RAUM · $60.4M to $3.4MApr 19, 2016 to Oct 11, 2016
- RAUM · $199M to $108MApr 19, 2016 to Oct 11, 2016
- Accounts · 539 to 144Feb 26, 2015 to Mar 30, 2016
- Advisory employees · 3 to 5Feb 26, 2015 to Mar 30, 2016
- Advisory activities · 3 to 4Feb 26, 2015 to Mar 30, 2016
- BD registered reps · 3 to 4Feb 26, 2015 to Mar 30, 2016
- Employees · 4 to 5Feb 26, 2015 to Mar 30, 2016
- State-registered IARs · 3 to 5Feb 26, 2015 to Mar 30, 2016
- Discretionary RAUM · $160M to $139MFeb 26, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $0 to $60.4MFeb 26, 2015 to Mar 30, 2016
- RAUM · $160M to $199MFeb 26, 2015 to Mar 30, 2016
- Accounts · 940 to 539Mar 5, 2014 to Feb 26, 2015
- Advisory employees · 5 to 3Mar 5, 2014 to Feb 26, 2015
- Employees · 5 to 4Mar 5, 2014 to Feb 26, 2015
- Insurance-licensed employees · 1 to 2Mar 5, 2014 to Feb 26, 2015
- State-registered IARs · 4 to 3Mar 5, 2014 to Feb 26, 2015
- Discretionary RAUM · $168M to $160MMar 5, 2014 to Feb 26, 2015
- Non-discretionary RAUM · $77.0M to $0Mar 5, 2014 to Feb 26, 2015
- RAUM · $245M to $160MMar 5, 2014 to Feb 26, 2015
- Accounts · 1,197 to 940Mar 1, 2013 to Mar 5, 2014
- Advisory employees · 2 to 5Mar 1, 2013 to Mar 5, 2014
- BD registered reps · 2 to 3Mar 1, 2013 to Mar 5, 2014
- Employees · 3 to 5Mar 1, 2013 to Mar 5, 2014
- State-registered IARs · 2 to 4Mar 1, 2013 to Mar 5, 2014
- Discretionary RAUM · $120M to $168MMar 1, 2013 to Mar 5, 2014
- Non-discretionary RAUM · $103M to $77.0MMar 1, 2013 to Mar 5, 2014
- RAUM · $223M to $245MMar 1, 2013 to Mar 5, 2014
- Accounts · 372 to 1,197Feb 27, 2012 to Mar 1, 2013
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.
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