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
Beacon Wealth Advisors, LLC
Latest filing Apr 28, 2023
First filing on the tape May 12, 2021 · 8 filings
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$144M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$137M as of Mar 2, 2023
Feb 3, 2022$142M then
HNW client RAUM$69.0M as of Mar 2, 2023
Feb 3, 2022$70.7M then
State-registered IARs (5.B.3)4 as of Mar 2, 2023
Feb 3, 20224 then
Employees (5.A)4 as of Mar 2, 2023
Feb 3, 20224 then
Private funds: no history
RAUM +1.3% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Apr 28, 2023; every figure names its basis
- RAUM per advisor
- $35.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $875,974derivedHNW RAUM over HNW clients
- Average account
- $137,586derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Wrap fee program
- $107MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$75.2M52%
- High-net-worth individuals$68.3M48%
- Individual clients
- 556reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,043reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
- Mark Alan Wolter to Harbour Investments, Inc.Dec 31, 2023 · RIA to RIA
- Chris Charles Morgan to Harbour Investments, Inc.Dec 31, 2023 · RIA to RIA
- Joshua M Pratt to Harbour Investments, Inc.Dec 31, 2023 · RIA to RIA
- Rachel Lynn Hook to Harbour Investments, Inc.Dec 31, 2023 · RIA to RIA
- Matthew M Winter to Morgan StanleyOct 26, 2021 · RIA to wirehouse
Joined, latest
- Mark Alan Wolter from Harbour Investments, Inc.Mar 22, 2019 · RIA to RIA
- Joshua M Pratt from Thrivent Investment Management Inc.Feb 3, 2017 · Other
- Chris Charles Morgan from LPL Financial LLCNov 3, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Harbour Investments, Inc.Dec 31, 2023 · Mchenry, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Rachel Hook · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- Charles Chris Morgan · Managing Membercontrolsince 06/2014 · owns 50% to 75%
- Mark Wolter · Membercontrolsince 01/2019 · owns 25% to 50%
- M Joshua Pratt · Membersince 01/2019 · owns less than 5%
Related persons
Schedule D 7.A
- Chris C. Morganinsurancey
- Chris Morganreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mchenry, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,017 to 1,043Mar 2, 2023 to Apr 28, 2023
- HNW clients · 75 to 78Mar 2, 2023 to Apr 28, 2023
- Individual clients · 539 to 556Mar 2, 2023 to Apr 28, 2023
- Discretionary RAUM · $137M to $144MMar 2, 2023 to Apr 28, 2023
- HNW RAUM · $69.0M to $68.3MMar 2, 2023 to Apr 28, 2023
- Individual RAUM · $67.8M to $75.2MMar 2, 2023 to Apr 28, 2023
- RAUM · $137M to $144MMar 2, 2023 to Apr 28, 2023
- Accounts · 965 to 1,017Aug 30, 2022 to Mar 2, 2023
- HNW clients · 67 to 75Aug 30, 2022 to Mar 2, 2023
- Individual clients · 518 to 539Aug 30, 2022 to Mar 2, 2023
- Financial planning clients · 11-25 to 26-50Aug 30, 2022 to Mar 2, 2023
- Discretionary RAUM · $134M to $137MAug 30, 2022 to Mar 2, 2023
- HNW RAUM · $65.2M to $69.0MAug 30, 2022 to Mar 2, 2023
- Individual RAUM · $68.7M to $67.8MAug 30, 2022 to Mar 2, 2023
- RAUM · $134M to $137MAug 30, 2022 to Mar 2, 2023
- Accounts · 896 to 965Feb 3, 2022 to Aug 30, 2022
- BD registered reps · 3 to 4Feb 3, 2022 to Aug 30, 2022
- HNW clients · 76 to 67Feb 3, 2022 to Aug 30, 2022
- Individual clients · 478 to 518Feb 3, 2022 to Aug 30, 2022
- Discretionary RAUM · $142M to $134MFeb 3, 2022 to Aug 30, 2022
- HNW RAUM · $70.7M to $65.2MFeb 3, 2022 to Aug 30, 2022
- Individual RAUM · $71.0M to $68.7MFeb 3, 2022 to Aug 30, 2022
- RAUM · $142M to $134MFeb 3, 2022 to Aug 30, 2022
- Accounts · 886 to 896Oct 26, 2021 to Feb 3, 2022
- HNW clients · 68 to 76Oct 26, 2021 to Feb 3, 2022
- Individual clients · 454 to 478Oct 26, 2021 to Feb 3, 2022
- Discretionary RAUM · $123M to $142MOct 26, 2021 to Feb 3, 2022
- HNW RAUM · $59.7M to $70.7MOct 26, 2021 to Feb 3, 2022
- Individual RAUM · $63.7M to $71.0MOct 26, 2021 to Feb 3, 2022
- RAUM · $123M to $142MOct 26, 2021 to Feb 3, 2022
- Advisory employees · 5 to 4Jul 26, 2021 to Oct 26, 2021
- Employees · 5 to 4Jul 26, 2021 to Oct 26, 2021
- State-registered IARs · 5 to 4Jul 26, 2021 to Oct 26, 2021
- Advisory employees · 4 to 5Jun 17, 2021 to Jul 26, 2021
- Employees · 4 to 5Jun 17, 2021 to Jul 26, 2021
- State-registered IARs · 4 to 5Jun 17, 2021 to Jul 26, 2021
Signals
7 dated events
- Joshua M Pratt left Beacon Wealth Advisors, Llc for Harbour Investments, Inc. (registered 2023-12-01)Dec 31, 2023 · Advisor changed firm · fact
- Mark Alan Wolter left Beacon Wealth Advisors, Llc for Harbour Investments, Inc. (registered 2023-12-01)Dec 31, 2023 · Advisor changed firm · fact
- Chris Charles Morgan left Beacon Wealth Advisors, Llc for Harbour Investments, Inc. (registered 2023-12-01)Dec 31, 2023 · Advisor changed firm · fact
- Rachel Lynn Hook left Beacon Wealth Advisors, Llc for Harbour Investments, Inc. (registered 2023-12-01)Dec 31, 2023 · Advisor changed firm · fact
- Beacon Wealth Advisors, LLC's advisors moved to Harbour Investments, Inc. (Mchenry, IL): 4 of 4 registered, on the same dayDec 31, 2023 · Firm absorbed (people side) · derived
- Lynn Rachel Rosio (Chief Compliance Officer) appeared on Schedule A of Beacon Wealth Advisors, LlcAug 30, 2022 · Control person joined · fact
- Beacon Wealth Advisors, Llc filed its initial SEC registration (Form ADV)May 12, 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.
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