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
Bay Rivers Group Wealth Partners
Legal name Bay Rivers Group, Inc.
Latest filing Mar 13, 2026
First filing on the tape Sep 28, 2017 · 41 filings
SEC status approved since Oct 27, 2017
RAUM
$326M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$323M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$81.6M
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
41 filings and snapshots on the tape
RAUM$326M as of Mar 13, 2026
Jan 21, 2019$109M then
HNW client RAUM$236M as of Mar 13, 2026
Jan 31, 2018$0 then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Jan 31, 20183 then
Employees (5.A)4 as of Mar 13, 2026
Jan 31, 20183 then
Private funds: no history
RAUM +20% over the last fiscal year+26% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 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
- RAUM per advisor
- $81.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $357,290derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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
- High-net-worth individuals$236M72%
- Individuals$86.1M26%
- Charitable organizations$3.0M0.9%
- Corporations and businesses$559,1180.2%
- Individual clients
- 305reported
- HNW clients
- 90reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 913reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alan Lawrence BroderickCertified Financial Planner | Williamsburg, Va | Mar 7, 2018 | 23 y | 3 |
| Charles LucyCertified Financial Planner | Williamsburg, Va | Mar 7, 2018 | 30 y | 3 |
| Bruce Albert LemleyCertified Financial Planner | Williamsburg, Va | Mar 7, 2018 | 28 y | 3 |
| Will Payton GibsonChartered Financial Analyst | Williamsburg, Va | Sep 9, 2024 | 12 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
- Will Payton Gibson from Nasdaq Dorsey WrightSep 9, 2024 · RIA to RIA
- Charles Lucy from Wells Fargo AdvisorsMar 7, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Alan Lawrence Broderick from Wells Fargo AdvisorsMar 7, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Bruce Albert Lemley from Wells Fargo AdvisorsMar 7, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Wells Fargo AdvisorsMar 7, 2018 · Williamsburg, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L. Alan Broderick · Cco & Shareholdercontrolsince 03/2017 · owns 10% to 25%
- Albert Bruce Lemley · Shareholdercontrolsince 03/2017 · owns 25% to 50%
- Phillip Charles Lucy · Shareholdercontrolsince 03/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- 5107 Partners, LLCinvestment companyn
- Abcm Partners, LLC Dba Bay Rivers Group Tax Servicesinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Williamsburg, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 846 to 913Jul 17, 2025 to Jan 23, 2026
- Charity clients · 3 to 4Jul 17, 2025 to Jan 23, 2026
- Corporate clients · 1 to 2Jul 17, 2025 to Jan 23, 2026
- HNW clients · 65 to 90Jul 17, 2025 to Jan 23, 2026
- Individual clients · 293 to 305Jul 17, 2025 to Jan 23, 2026
- Discretionary RAUM · $266M to $322MJul 17, 2025 to Jan 23, 2026
- HNW RAUM · $171M to $236MJul 17, 2025 to Jan 23, 2026
- Individual RAUM · $101M to $86.1MJul 17, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $6.2M to $4.1MJul 17, 2025 to Jan 23, 2026
- RAUM · $273M to $326MJul 17, 2025 to Jan 23, 2026
- Financial planning clients · 26-50 to 26-50Jan 6, 2025 to Jul 17, 2025
- Accounts · 810 to 846Sep 13, 2024 to Jan 6, 2025
- HNW clients · 63 to 65Sep 13, 2024 to Jan 6, 2025
- Individual clients · 284 to 293Sep 13, 2024 to Jan 6, 2025
- Financial planning clients · 11-25 to 26-50Sep 13, 2024 to Jan 6, 2025
- Discretionary RAUM · $250M to $266MSep 13, 2024 to Jan 6, 2025
- HNW RAUM · $158M to $171MSep 13, 2024 to Jan 6, 2025
- Individual RAUM · $95.4M to $101MSep 13, 2024 to Jan 6, 2025
- Non-discretionary RAUM · $5.4M to $6.2MSep 13, 2024 to Jan 6, 2025
- RAUM · $255M to $273MSep 13, 2024 to Jan 6, 2025
- Advisory employees · 3 to 4Jul 15, 2024 to Sep 10, 2024
- Employees · 3 to 4Jul 15, 2024 to Sep 10, 2024
- State-registered IARs · 3 to 4Jul 15, 2024 to Sep 10, 2024
- Accounts · 784 to 810Jan 8, 2024 to Jul 15, 2024
- HNW clients · 52 to 63Jan 8, 2024 to Jul 15, 2024
- Individual clients · 286 to 284Jan 8, 2024 to Jul 15, 2024
- Discretionary RAUM · $201M to $250MJan 8, 2024 to Jul 15, 2024
- HNW RAUM · $116M to $158MJan 8, 2024 to Jul 15, 2024
- Individual RAUM · $89.8M to $95.4MJan 8, 2024 to Jul 15, 2024
- Non-discretionary RAUM · $5.6M to $5.4MJan 8, 2024 to Jul 15, 2024
- RAUM · $207M to $255MJan 8, 2024 to Jul 15, 2024
- Accounts · 775 to 784Sep 12, 2023 to Jan 8, 2024
- Individual clients · 284 to 286Sep 12, 2023 to Jan 8, 2024
- Discretionary RAUM · $186M to $201MSep 12, 2023 to Jan 8, 2024
- HNW RAUM · $106M to $116MSep 12, 2023 to Jan 8, 2024
- Individual RAUM · $82.7M to $89.8MSep 12, 2023 to Jan 8, 2024
- Non-discretionary RAUM · $4.1M to $5.6MSep 12, 2023 to Jan 8, 2024
- RAUM · $190M to $207MSep 12, 2023 to Jan 8, 2024
- Accounts · 771 to 775Jul 12, 2023 to Sep 12, 2023
- Charity clients · 2 to 3Jul 12, 2023 to Sep 12, 2023
Signals
1 dated events
- Bay Rivers Group, Inc. filed its initial SEC registration (Form ADV)Sep 28, 2017 · 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@bayriversgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 757-259-2450reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- BAYRIVERSGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (757) 259-2450reportedpublic record, Form ADV, Mar 13, 2026
- Team page
- BAYRIVERSGROUP.COM/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
- $81.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026