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.

SEC-registered adviser

Beck Capital Management LLC

Independent wealth managerAustin, TexasCRD 152705SEC 801-70977website IAPD

Latest filing Apr 16, 2026

First filing on the tape Nov 14, 2011 · 49 filings

SEC status approved since Jan 7, 2010

RAUM

$562M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$557M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$62.5M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

49 filings and snapshots on the tape

RAUM$562M as of Apr 16, 2026

Feb 29, 2012$215M then

HNW client RAUM$470M as of Apr 16, 2026

Mar 12, 2018$233M then

State-registered IARs (5.B.3)8 as of Apr 16, 2026

Feb 29, 20120 then

Employees (5.A)9 as of Apr 16, 2026

Mar 26, 20136 then

Private funds: no history

RAUM +11% over the last fiscal year+20% a year over threeIARs 6 to 8

Practice profile

derived from the filing of Apr 16, 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: $62.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 50derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $506,685derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +9.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$470M84%
Individuals$87.0M15%
Charitable organizations$4.9M0.9%
Corporations and businesses$139,5260.0%

Individual clients: 256reported
HNW clients: 193reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 1,110reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

9 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Justin Michael Simmons	Austin, Tx	Jan 12, 2010	19 y	2
James Franklin Beck	Austin, Tx	Jan 20, 2010	37 y	1
Gerald Thomas Mcilhon	Austin, Tx	Mar 5, 2010	37 y	3
Melanie A. Johnson	Austin, Tx	Mar 21, 2011	21 y	1
William Frederick Gregory	Austin, Tx	Jan 21, 2014	29 y	0
Michael Edward QuigleyChartered Financial Consultant	Austin, Tx	Apr 17, 2020	26 y	2
Victor Daniel BeckChartered Financial Analyst	Austin, Tx	Sep 13, 2022	13 y	1
Hunter Franklin Beck	Austin, Tx	Jun 23, 2023	11 y	0
Collin E Osbahr	Austin, Tx	Jan 7, 2025	11 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

none on the tape

Joined, latest

Collin E Osbahr from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Jan 7, 2025 · Wirehouse to independent RIA
Victor Daniel Beck from J.P. Morgan Securities LLC
Sep 13, 2022 · Wirehouse to independent RIA
Michael Edward Quigley from Signator Investors, Inc.
Apr 17, 2020 · Other
Melanie A. Johnson from Athena Financial Group, Inc.
Mar 21, 2011 · Other
Gerald Thomas Mcilhon from Partnervest Advisory Services LLC
Mar 5, 2010 · Other
James Franklin Beck from Partnervest Advisory Services LLC
Jan 20, 2010 · Other
Justin Michael Simmons from Partnervest Advisory Services LLC
Jan 12, 2010 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Franklin James Beck · Owner And Chief Investment Advisorcontrol
since 12/2009 · owns 75% or more
Frederick William Gregory · Chief Compliance Officer And Vice President Operationscontrol
since 12/2009 · owns less than 5%

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
Austin, Tx · principal	9	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 Apr 16, 2026
financial planning (Item 5.G.1): no on the filing of 2026-03-13, yes on the filing of 2026-04-16
peers: independent wealth managers, $500M to $1B (1,483)

How anomalies are measured

What changed

consecutive filings, newest first

Advisory activities · 1 to 2
Mar 13, 2026 to Apr 16, 2026
Accounts · 1,030 to 1,110
Apr 16, 2025 to Mar 13, 2026
Advisory employees · 6 to 7
Apr 16, 2025 to Mar 13, 2026
Advisory activities · 3 to 1
Apr 16, 2025 to Mar 13, 2026
HNW clients · 166 to 193
Apr 16, 2025 to Mar 13, 2026
Individual clients · 246 to 256
Apr 16, 2025 to Mar 13, 2026
Assets in custody · $99.2M to $57.5M
Apr 16, 2025 to Mar 13, 2026
Custody of client assets · true to false
Apr 16, 2025 to Mar 13, 2026
State-registered IARs · 6 to 8
Apr 16, 2025 to Mar 13, 2026
Discretionary RAUM · $505M to $562M
Apr 16, 2025 to Mar 13, 2026
HNW RAUM · $419M to $470M
Apr 16, 2025 to Mar 13, 2026
Individual RAUM · $81.2M to $87.0M
Apr 16, 2025 to Mar 13, 2026
RAUM · $505M to $562M
Apr 16, 2025 to Mar 13, 2026
Accounts · 970 to 1,030
Oct 2, 2024 to Apr 16, 2025
Advisory activities · 2 to 3
Oct 2, 2024 to Apr 16, 2025
Charity clients · unset to 1.0
Oct 2, 2024 to Apr 16, 2025
Corporate clients · unset to 1.0
Oct 2, 2024 to Apr 16, 2025
HNW clients · 135 to 166
Oct 2, 2024 to Apr 16, 2025
Individual clients · 257 to 246
Oct 2, 2024 to Apr 16, 2025
Assets in custody · $77.8M to $99.2M
Oct 2, 2024 to Apr 16, 2025
Employees · 10 to 9
Oct 2, 2024 to Apr 16, 2025
Financial planning clients · unset to 0
Oct 2, 2024 to Apr 16, 2025
State-registered IARs · 9 to 6
Oct 2, 2024 to Apr 16, 2025
Discretionary RAUM · $385M to $505M
Oct 2, 2024 to Apr 16, 2025
HNW RAUM · $300M to $419M
Oct 2, 2024 to Apr 16, 2025
Individual RAUM · $80.2M to $81.2M
Oct 2, 2024 to Apr 16, 2025
RAUM · $385M to $505M
Oct 2, 2024 to Apr 16, 2025
Accounts · 962 to 970
Dec 19, 2023 to Mar 15, 2024
HNW clients · 127 to 135
Dec 19, 2023 to Mar 15, 2024
Individual clients · 264 to 257
Dec 19, 2023 to Mar 15, 2024
Assets in custody · $57.2M to $77.8M
Dec 19, 2023 to Mar 15, 2024
Employees · 8 to 10
Dec 19, 2023 to Mar 15, 2024
State-registered IARs · 8 to 9
Dec 19, 2023 to Mar 15, 2024
Discretionary RAUM · $329M to $385M
Dec 19, 2023 to Mar 15, 2024
HNW RAUM · $251M to $300M
Dec 19, 2023 to Mar 15, 2024
Individual RAUM · $74.0M to $80.2M
Dec 19, 2023 to Mar 15, 2024
RAUM · $329M to $385M
Dec 19, 2023 to Mar 15, 2024
Accounts · 927 to 962
Mar 21, 2022 to Mar 16, 2023
Advisory employees · 5 to 6
Mar 21, 2022 to Mar 16, 2023
HNW clients · 130 to 127
Mar 21, 2022 to Mar 16, 2023

Signals

4 dated events

Beck Capital Management Llc reported RAUM $504.9M, up 31% from $384.6M (2024-10-02 to 2025-04-16)
Apr 16, 2025 · RAUM change · derived
James Lewis Spellman (Executive Vice President & Macro Economist.) no longer on Schedule A of Beck Capital Management Llc (listed 2022-03-21, absent 2023-03-16)
Mar 16, 2023 · Control person left · inference
Crossley Bryan Anderson (Executive Vice President & Market Strategist) no longer on Schedule A of Beck Capital Management Llc (listed 2021-03-16, absent 2021-05-19)
May 19, 2021 · Control person left · inference
James Lewis Spellman (Executive Vice President & Macro Economist.) appeared on Schedule A of Beck Capital Management Llc
Mar 17, 2020 · Control person joined · 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: 512-345-6789reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/beck-capital-management-llc/mycompanyreportedpublic record, Form ADV, Sep 17, 2026
Website: BECKCAPITALMGMT.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 512-345-6789reportedpublic record, Form ADV, Apr 16, 2026
Team page: beckcapitalmgmt.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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: $62.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026