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
Brindle & Bay Financial Advisors, LLC
Latest filing Jul 10, 2026
First filing on the tape Aug 4, 2024 · 6 filings
SEC status approved since Sep 3, 2024
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$185M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.2M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$185M as of Jul 10, 2026
Feb 11, 2025$114M then
HNW client RAUM$128M as of Jul 10, 2026
Feb 11, 2025$77.6M then
State-registered IARs (5.B.3)3 as of Jul 10, 2026
Feb 11, 20252 then
Employees (5.A)4 as of Jul 10, 2026
Feb 11, 20253 then
Private funds: no history
RAUM +62% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jul 10, 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
- 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
- RAUM per advisor
- $46.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $294,737derivedRAUM 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
- +62%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M69%
- Individuals$56.8M31%
- Individual clients
- 115reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 627reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nicolas Dale DavisCertified Financial Planner, Chartered Financial Consultant | Frisco, Tx | Mar 6, 2018 | 22 y | 1 |
| Tori Christine Ten Hagen | Frisco, Tx | Aug 2, 2022 | 11 y | 0 |
| Andrew John BencivengaCertified Financial Planner | Greer, Sc | Jul 15, 2025 | 13 y | 3 |
| Nicholas Richard SimonsonCertified Financial Planner | Monona, Wi | Jul 10, 2026 | 12 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Nicholas Richard Simonson from Cwm, LLCJul 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nicolas Dale Davis from Brookstone Wealth Advisors, LLCMar 6, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Dale Nicolas Davis · Managing Member/Ccocontrolsince 01/2018 · 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 |
|---|---|---|---|---|---|
| Frisco, Tx · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $114,156,212 to $184,800,000 (+62.0%) between the annual amendments of 2025-03-21 and 2026-03-25; the peer median change was +15.0% (4551 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 468 to 627Nov 5, 2025 to Mar 25, 2026
- Advisory employees · 2 to 3Nov 5, 2025 to Mar 25, 2026
- HNW clients · 50 to 69Nov 5, 2025 to Mar 25, 2026
- Individual clients · 97 to 115Nov 5, 2025 to Mar 25, 2026
- Employees · 3 to 4Nov 5, 2025 to Mar 25, 2026
- Financial planning clients · 11-25 to 26-50Nov 5, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 3Nov 5, 2025 to Mar 25, 2026
- Discretionary RAUM · $114M to $185MNov 5, 2025 to Mar 25, 2026
- HNW RAUM · $77.6M to $128MNov 5, 2025 to Mar 25, 2026
- Individual RAUM · $36.6M to $56.8MNov 5, 2025 to Mar 25, 2026
- RAUM · $114M to $185MNov 5, 2025 to Mar 25, 2026
- Financial planning clients · 11-25 to 11-25Feb 11, 2025 to Mar 21, 2025
- Accounts · 352 to 468Aug 4, 2024 to Feb 11, 2025
- Advisory activities · 1 to 2Aug 4, 2024 to Feb 11, 2025
- HNW clients · 34 to 50Aug 4, 2024 to Feb 11, 2025
- Employees · 2 to 3Aug 4, 2024 to Feb 11, 2025
- Discretionary RAUM · $101M to $114MAug 4, 2024 to Feb 11, 2025
- HNW RAUM · $55.6M to $77.6MAug 4, 2024 to Feb 11, 2025
- Individual RAUM · $44.9M to $36.6MAug 4, 2024 to Feb 11, 2025
- RAUM · $101M to $114MAug 4, 2024 to Feb 11, 2025
Signals
1 dated events
- Brindle & Bay Financial Advisors, Llc filed its initial SEC registration (Form ADV)Aug 4, 2024 · 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
- 214-988-9178reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/brindle-bay-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- brindleandbay.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 214-988-9178reportedpublic record, Form ADV, Jul 10, 2026
- Contact form
- brindleandbay.com/contact-usreportedpublished 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
- $46.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026