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••••• W••••• A•••••••
Legal name B••••• A••••••• G••••• L••
Latest filing May 22, 2026
First filing on the tape Oct 17, 2024 · 11 filings
SEC status approved since Nov 18, 2024
RAUM
$206M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$205M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$41.3M
derived; firm RAUM over IAPD count
Employees
19
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$206M as of May 22, 2026
Mar 4, 2025$118M then
HNW client RAUM$79.1M as of May 22, 2026
Mar 4, 2025$26.9M then
State-registered IARs (5.B.3)2 as of May 22, 2026
Mar 4, 20254 then
Employees (5.A)19 as of May 22, 2026
Mar 4, 20254 then
Private funds: no history
RAUM +74% over the last fiscal yearIARs 4 to 2
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $41.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $197,890derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.8derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +74%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $53.6M, 246 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
- Individuals$126M61%
- High-net-worth individuals$79.1M38%
- Pension and profit-sharing plans$1.5M0.7%
- Charitable organizations$122,8100.1%
- Individual clients
- 447reported
- HNW clients
- 44reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 1,043reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.6M for 246 clientsreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• C•••••• B••••• | Las Vegas, Nv | Mar 19, 2010 | 31 y | 3 |
| K••••• M• F•••• | Las Vegas, Nv | May 31, 2022 | 23 y | 2 |
| G•••• C•••••• S••••••• | Las Vegas, Nv | Aug 5, 2022 | 16 y | 0 |
| V•••••• M•••••• G••••••••Certified Financial Planner | Las Vegas, Nv | Dec 3, 2024 | 12 y | 6 |
| P•••• G•••••••• K•••••• T••••• | Las Vegas, Nv | Jun 8, 2025 | 12 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- C•••••••• T•••• S•••••• to L•••••••• A•••••••• L••Mar 31, 2026 · RIA to RIA
Joined, latest
- C•••••••• T•••• S•••••• from A••••• W••••• M••••••••• L••Sep 17, 2025 · RIA to RIA
- P•••• G•••••••• K•••••• T••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- V•••••• M•••••• G•••••••• from M••••• G••••• A••••••• I•••Dec 3, 2024 · RIA to RIA
- K••••• M• F•••• from G••••••• W••••• M•••••••••May 31, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••• C•••••• B••••• from A•••••• I••••••••• T••••••••• I••Mar 19, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••• C•••••• · Managing Member/Ccocontrolsince 02/2010 · owns 75% or more
Related persons
Schedule D 7.A
- B••••• F•••••••• G••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Las Vegas, Nv · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Henderson, NV1 employees
- Mesquite, NV1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing May 22, 2026employees per registered advisor of 3.8 against a peer median of 1.2 (1314 comparable advisers, 99.0th percentile, 8.8 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 99% percentile
- RAUM up 50 %Change between filings · filing Apr 10, 2026RAUM (Item 5.F) moved from $118,331,201 to $206,399,319 (+74.0%) between the annual amendments of 2025-03-27 and 2026-04-10; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
- HNW share shiftChange between filings · filing Apr 10, 2026HNW share of RAUM moved from 23.0% to 38.0% between the annual amendments of 2025-03-27 and 2026-04-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 495 to 1,043Oct 29, 2025 to Mar 30, 2026
- Advisory employees · 6 to 8Oct 29, 2025 to Mar 30, 2026
- Charity clients · unset to 1.0Oct 29, 2025 to Mar 30, 2026
- HNW clients · 40 to 44Oct 29, 2025 to Mar 30, 2026
- Individual clients · 454 to 447Oct 29, 2025 to Mar 30, 2026
- Assets in custody · unset to 53567742.0Oct 29, 2025 to Mar 30, 2026
- Custody of client assets · false to trueOct 29, 2025 to Mar 30, 2026
- Employees · 6 to 19Oct 29, 2025 to Mar 30, 2026
- Financial planning clients · to 0Oct 29, 2025 to Mar 30, 2026
- State-registered IARs · 6 to 2Oct 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $193M to $206MOct 29, 2025 to Mar 30, 2026
- HNW RAUM · $69.8M to $79.1MOct 29, 2025 to Mar 30, 2026
- Individual RAUM · $123M to $126MOct 29, 2025 to Mar 30, 2026
- Pension RAUM · $121,878 to $1.5MOct 29, 2025 to Mar 30, 2026
- RAUM · $193M to $206MOct 29, 2025 to Mar 30, 2026
- Related insurance company · false to trueOct 29, 2025 to Mar 30, 2026
- Accounts · 720 to 495Jul 16, 2025 to Oct 29, 2025
- Advisory employees · 5 to 6Jul 16, 2025 to Oct 29, 2025
- Charity clients · 1.0 to unsetJul 16, 2025 to Oct 29, 2025
- HNW clients · 17 to 40Jul 16, 2025 to Oct 29, 2025
- Individual clients · 366 to 454Jul 16, 2025 to Oct 29, 2025
- Pension plan clients · 7 to 1Jul 16, 2025 to Oct 29, 2025
- Employees · 5 to 6Jul 16, 2025 to Oct 29, 2025
- State-registered IARs · 5 to 6Jul 16, 2025 to Oct 29, 2025
- Discretionary RAUM · $118M to $193MJul 16, 2025 to Oct 29, 2025
- HNW RAUM · $26.9M to $69.8MJul 16, 2025 to Oct 29, 2025
- Individual RAUM · $90.0M to $123MJul 16, 2025 to Oct 29, 2025
- Pension RAUM · $1.3M to $121,878Jul 16, 2025 to Oct 29, 2025
- RAUM · $118M to $193MJul 16, 2025 to Oct 29, 2025
- Financial planning clients · unset to Jun 6, 2025 to Jul 16, 2025
- Advisory employees · 4 to 5May 27, 2025 to Jun 6, 2025
- Employees · 4 to 5May 27, 2025 to Jun 6, 2025
- State-registered IARs · 4 to 5May 27, 2025 to Jun 6, 2025
- Accounts · 677 to 720Nov 25, 2024 to Mar 4, 2025
- HNW clients · 32 to 17Nov 25, 2024 to Mar 4, 2025
- Individual clients · 456 to 366Nov 25, 2024 to Mar 4, 2025
- Pension plan clients · unset to 7.0Nov 25, 2024 to Mar 4, 2025
- Discretionary RAUM · $105M to $118MNov 25, 2024 to Mar 4, 2025
- HNW RAUM · $27.4M to $26.9MNov 25, 2024 to Mar 4, 2025
- Individual RAUM · $77.2M to $90.0MNov 25, 2024 to Mar 4, 2025
Signals
2 dated events
- C•••••••• T•••• S•••••• left B••••• W••••• A••••••• for L•••••••• A•••••••• L•• (registered 2026-05-19)Mar 31, 2026 · Advisor changed firm · fact
- B••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Oct 17, 2024 · 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 email
- info@baumanwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 702-897-9997reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- baumanwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 702-897-9997reportedpublic record, Form ADV, May 22, 2026
- Contact form
- baumanwealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- baumanwealth.com/our-teamreportedpublished 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
- $41.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026