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••••••• A•••• M••••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Nov 10, 2017 · 14 filings
SEC status approved since Dec 8, 2017
RAUM
$234M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$234M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$234M as of Jul 29, 2026
Mar 28, 2018$112M then
HNW client RAUM$207M as of Jul 29, 2026
Mar 28, 2018$90.8M then
State-registered IARs (5.B.3)2 as of Jul 29, 2026
Mar 28, 20181 then
Employees (5.A)4 as of Jul 29, 2026
Mar 28, 20183 then
Private funds: no history
RAUM +14% over the last fiscal year+3.3% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Jul 29, 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
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $640,119derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $95.1M, 50 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
- High-net-worth individuals$207M89%
- Individuals$26.8M11%
- Individual clients
- 80reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 366reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.1M for 50 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| J•••• M••••• C••••Personal Financial Specialist | B••••••• Bluffs, Fl | Jan 9, 2018 | 29 y | 2 |
| S••• A•••••••• B••••••• | B••••••• Bluffs, Fl | Jan 15, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- S••• A•••••••• B••••••• from M•• I•••••••• S•••••••• L••Jan 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• M••••• C•••• from I•• W••••• M••••••••• I•••Jan 9, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••• M••••• · Member / Chief Compliance Officercontrolsince 10/2017 · owns 75% or more
- C••••• T•••• E• · Vice President Operationscontrolsince 10/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- B••••••• T•• C••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| B••••••• Bluffs, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 346 to 366Mar 19, 2025 to Mar 26, 2026
- Advisory employees · 1 to 2Mar 19, 2025 to Mar 26, 2026
- HNW clients · 38 to 45Mar 19, 2025 to Mar 26, 2026
- Individual clients · 82 to 80Mar 19, 2025 to Mar 26, 2026
- Assets in custody · $82.5M to $95.1MMar 19, 2025 to Mar 26, 2026
- Employees · 3 to 4Mar 19, 2025 to Mar 26, 2026
- State-registered IARs · 1 to 2Mar 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $186M to $225MMar 19, 2025 to Mar 26, 2026
- HNW RAUM · $174M to $207MMar 19, 2025 to Mar 26, 2026
- Individual RAUM · $31.8M to $26.8MMar 19, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $19.0M to $9.7MMar 19, 2025 to Mar 26, 2026
- Pension RAUM · unset to 0.0Mar 19, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 19, 2025 to Mar 26, 2026
- RAUM · $205M to $234MMar 19, 2025 to Mar 26, 2026
- Accounts · 349 to 346Mar 21, 2024 to Mar 19, 2025
- Advisory activities · 5 to 4Mar 21, 2024 to Mar 19, 2025
- HNW clients · 42 to 38Mar 21, 2024 to Mar 19, 2025
- Individual clients · 79 to 82Mar 21, 2024 to Mar 19, 2025
- Assets in custody · $81.4M to $82.5MMar 21, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 19, 2025
- Discretionary RAUM · $165M to $186MMar 21, 2024 to Mar 19, 2025
- HNW RAUM · $186M to $174MMar 21, 2024 to Mar 19, 2025
- Individual RAUM · $29.5M to $31.8MMar 21, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $50.9M to $19.0MMar 21, 2024 to Mar 19, 2025
- RAUM · $216M to $205MMar 21, 2024 to Mar 19, 2025
- Accounts · 351 to 349Mar 22, 2023 to Mar 21, 2024
- HNW clients · 49 to 42Mar 22, 2023 to Mar 21, 2024
- Individual clients · 76 to 79Mar 22, 2023 to Mar 21, 2024
- Assets in custody · $76.2M to $81.4MMar 22, 2023 to Mar 21, 2024
- Discretionary RAUM · $160M to $165MMar 22, 2023 to Mar 21, 2024
- HNW RAUM · $189M to $186MMar 22, 2023 to Mar 21, 2024
- Individual RAUM · $23.3M to $29.5MMar 22, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $52.9M to $50.9MMar 22, 2023 to Mar 21, 2024
- RAUM · $213M to $216MMar 22, 2023 to Mar 21, 2024
- Accounts · 324 to 351Mar 29, 2022 to Mar 22, 2023
- HNW clients · 43 to 49Mar 29, 2022 to Mar 22, 2023
- Individual clients · 70 to 76Mar 29, 2022 to Mar 22, 2023
- Assets in custody · $70.3M to $76.2MMar 29, 2022 to Mar 22, 2023
- Discretionary RAUM · $175M to $160MMar 29, 2022 to Mar 22, 2023
- HNW RAUM · $206M to $189MMar 29, 2022 to Mar 22, 2023
Signals
1 dated events
- B••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 10, 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
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 727-586-3541reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/B•••••••-ASSET-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- B•••••••AM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 727-586-3541reportedpublic record, Form ADV, Jul 29, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026