DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B•••• F••••••••
Legal name B•••• F••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 1, 2022 · 7 filings
SEC status approved since Mar 3, 2022
RAUM
$202M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$202M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$202M as of Mar 30, 2026
Mar 24, 2023$140M then
HNW client RAUM$166M as of Mar 30, 2026
Mar 24, 2023$105M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 24, 20232 then
Employees (5.A)2 as of Mar 30, 2026
Mar 24, 20232 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $426,084derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $50.0M, 37 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M82%
- Individuals$36.2M18%
- Individual clients
- 261reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 474reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.0M for 37 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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••••• T•••• C••••Chartered Financial Analyst | Memphis, Tn | Apr 12, 2022 | 14 y | 2 |
| D••••• G•••• L••• | Memphis, Tn | Jul 11, 2022 | 38 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
- D••••• G•••• L••• from R•••••• J•••• F•••••••• S•••••••• I•••Jul 11, 2022 · Other
- R••••• T•••• C•••• from G••••••• C•••••• M••••••••• L••Apr 12, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• R•••••• T•••• · Vice Presidentcontrolsince 01/2022 · owns less than 5%
- L•••• D•••••• G•••• · President/Ccocontrolsince 06/2012 · owns 50% to 75%
Entity owners
- G••••••• C•••••• M••••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- D••••• G• L•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 448 to 474Mar 30, 2025 to Mar 30, 2026
- HNW clients · 49 to 53Mar 30, 2025 to Mar 30, 2026
- Individual clients · 277 to 261Mar 30, 2025 to Mar 30, 2026
- Assets in custody · $43.5M to $50.0MMar 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $166M to $188MMar 30, 2025 to Mar 30, 2026
- HNW RAUM · $139M to $166MMar 30, 2025 to Mar 30, 2026
- Individual RAUM · $40.3M to $36.2MMar 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $13.3M to $13.8MMar 30, 2025 to Mar 30, 2026
- RAUM · $180M to $202MMar 30, 2025 to Mar 30, 2026
- Accounts · 449 to 448Mar 28, 2024 to Mar 30, 2025
- HNW clients · 53 to 49Mar 28, 2024 to Mar 30, 2025
- Individual clients · 266 to 277Mar 28, 2024 to Mar 30, 2025
- Assets in custody · $41.4M to $43.5MMar 28, 2024 to Mar 30, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2024 to Mar 30, 2025
- Discretionary RAUM · $166M to $166MMar 28, 2024 to Mar 30, 2025
- HNW RAUM · $123M to $139MMar 28, 2024 to Mar 30, 2025
- Individual RAUM · $54.3M to $40.3MMar 28, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $11.3M to $13.3MMar 28, 2024 to Mar 30, 2025
- RAUM · $178M to $180MMar 28, 2024 to Mar 30, 2025
- Accounts · 497 to 449Mar 30, 2023 to Mar 28, 2024
- HNW clients · 59 to 53Mar 30, 2023 to Mar 28, 2024
- Individual clients · 379 to 266Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $32.4M to $41.4MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $130M to $166MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $105M to $123MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $35.0M to $54.3MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $9.9M to $11.3MMar 30, 2023 to Mar 28, 2024
- RAUM · $140M to $178MMar 30, 2023 to Mar 28, 2024
- Accounts · 368 to 497Jul 7, 2022 to Mar 24, 2023
- HNW clients · 43 to 59Jul 7, 2022 to Mar 24, 2023
- Individual clients · 223 to 379Jul 7, 2022 to Mar 24, 2023
- Assets in custody · $28.1M to $32.4MJul 7, 2022 to Mar 24, 2023
- Discretionary RAUM · $107M to $130MJul 7, 2022 to Mar 24, 2023
- HNW RAUM · $86.9M to $105MJul 7, 2022 to Mar 24, 2023
- Individual RAUM · $31.1M to $35.0MJul 7, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $10.6M to $9.9MJul 7, 2022 to Mar 24, 2023
- RAUM · $118M to $140MJul 7, 2022 to Mar 24, 2023
Signals
1 dated events
- B•••• F•••••••• filed its initial SEC registration (Form ADV)Feb 1, 2022 · 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 phone
- 555-555-5555reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 901-237-0731reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 901-681-9037reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 901-681-9037reportedpublic record, Form ADV, Mar 30, 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026