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
F•••••• 4•• L•••
Latest filing Jul 7, 2026
First filing on the tape Mar 29, 2021 · 19 filings
SEC status approved since Apr 28, 2021
RAUM
$238M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$231M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$79.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$238M as of Jul 7, 2026
Mar 18, 2022$138M then
HNW client RAUM$91.5M as of Jul 7, 2026
Mar 18, 2022$82.9M then
State-registered IARs (5.B.3)3 as of Jul 7, 2026
Mar 18, 20222 then
Employees (5.A)5 as of Jul 7, 2026
Mar 18, 20223 then
Private funds: no history
RAUM +26% over the last fiscal year+24% a year over threeIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $79.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 215derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $209,029derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $173M, 528 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$140M59%
- High-net-worth individuals$91.5M38%
- Corporations and businesses$5.2M2.2%
- Charitable organizations$1.3M0.5%
- Individual clients
- 621reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 1,137reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $173M for 528 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B•••• R••••••• | Gonzales, La | Jul 25, 2014 | 12 y | 0 |
| V••••••• M••••• V•••••• L••••• | Gonzales, La | Jun 24, 2022 | 10 y | 0 |
| T••••• A•• H••••• | Baton Rouge, La | Dec 26, 2024 | 11 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• J••••• B•••• · Chief Compliance Officer/Presidentcontrolsince 06/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Gonzales, La · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 29, 2026HNW share of RAUM moved from 65.0% to 38.0% between the annual amendments of 2025-03-26 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 997 to 1,137Dec 23, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Dec 23, 2025 to Mar 31, 2026
- Charity clients · 2 to 3Dec 23, 2025 to Mar 31, 2026
- HNW clients · 96 to 24Dec 23, 2025 to Mar 31, 2026
- Individual clients · 499 to 621Dec 23, 2025 to Mar 31, 2026
- Assets in custody · $186M to $173MDec 23, 2025 to Mar 31, 2026
- Employees · 4 to 5Dec 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $189M to $238MDec 23, 2025 to Mar 31, 2026
- HNW RAUM · $123M to $91.5MDec 23, 2025 to Mar 31, 2026
- Individual RAUM · $59.5M to $140MDec 23, 2025 to Mar 31, 2026
- RAUM · $189M to $238MDec 23, 2025 to Mar 31, 2026
- Other offices · 1 to 0Mar 26, 2025 to Dec 23, 2025
- Accounts · 838 to 997Mar 14, 2024 to Mar 26, 2025
- Charity clients · 3 to 2Mar 14, 2024 to Mar 26, 2025
- Corporate clients · 3 to 5Mar 14, 2024 to Mar 26, 2025
- HNW clients · 67 to 96Mar 14, 2024 to Mar 26, 2025
- Individual clients · 441 to 499Mar 14, 2024 to Mar 26, 2025
- Assets in custody · $162M to $186MMar 14, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 14, 2024 to Mar 26, 2025
- Discretionary RAUM · $151M to $189MMar 14, 2024 to Mar 26, 2025
- HNW RAUM · $96.4M to $123MMar 14, 2024 to Mar 26, 2025
- Individual RAUM · $49.8M to $59.5MMar 14, 2024 to Mar 26, 2025
- RAUM · $151M to $189MMar 14, 2024 to Mar 26, 2025
- Accounts · 780 to 838Aug 23, 2023 to Mar 14, 2024
- Charity clients · 2 to 3Aug 23, 2023 to Mar 14, 2024
- Corporate clients · 4 to 3Aug 23, 2023 to Mar 14, 2024
- HNW clients · 51 to 67Aug 23, 2023 to Mar 14, 2024
- Individual clients · 468 to 441Aug 23, 2023 to Mar 14, 2024
- Assets in custody · $94.0M to $162MAug 23, 2023 to Mar 14, 2024
- Discretionary RAUM · $126M to $151MAug 23, 2023 to Mar 14, 2024
- HNW RAUM · $75.0M to $96.4MAug 23, 2023 to Mar 14, 2024
- Individual RAUM · $47.8M to $49.8MAug 23, 2023 to Mar 14, 2024
- RAUM · $126M to $151MAug 23, 2023 to Mar 14, 2024
- Accounts · 673 to 780Dec 6, 2022 to Mar 13, 2023
- Charity clients · unset to 2.0Dec 6, 2022 to Mar 13, 2023
- Corporate clients · unset to 4.0Dec 6, 2022 to Mar 13, 2023
- HNW clients · 60 to 51Dec 6, 2022 to Mar 13, 2023
- Individual clients · 457 to 468Dec 6, 2022 to Mar 13, 2023
- Assets in custody · $93.7M to $94.0MDec 6, 2022 to Mar 13, 2023
- Employees · 3 to 4Dec 6, 2022 to Mar 13, 2023
Signals
1 dated events
- F•••••• 4•• L••• filed its initial SEC registration (Form ADV)Mar 29, 2021 · 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
- c•••••••••@f••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 225-614-9599reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F••••••45.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 225-614-9599reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- f••••••••.comreportedpublished 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
- $79.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026