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
Bancwest Investment Services, Inc. (Bwis)
Legal name Bancwest Investment Services, Inc.
Latest filing Aug 10, 2023
First filing on the tape Dec 8, 2011 · 97 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$2.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
369
272 advisory (5.B.1)
Offices
440
beyond the principal office
Private funds
0
reported on Schedule D
History
97 filings and snapshots on the tape
RAUM$2.0B as of Mar 31, 2023
Mar 30, 2012$101M then
HNW client RAUM$538M as of Mar 31, 2023
Mar 30, 2018$91.0M then
State-registered IARs (5.B.3)224 as of Mar 31, 2023
Mar 30, 20120 then
Employees (5.A)369 as of Mar 31, 2023
Mar 28, 2013365 then
Private funds: no history
RAUM -19% over the last fiscal year+4.6% a year over threeIARs 249 to 224offices 387 to 440
Practice profile
derived from the filing of Aug 10, 2023; every figure names its basis
- RAUM per advisor
- $9.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $988,685derivedHNW RAUM over HNW clients
- Average account
- $223,378derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 0.5derived441 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $2.0BreportedItem 5.I
- Custody
- $2.0B, 7,298 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.4B72%
- High-net-worth individuals$538M27%
- Corporations and businesses$23.6M1.2%
- Charitable organizations$15.3M0.8%
- Individual clients
- 6,769reported
- HNW clients
- 544reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 9,062reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $2.0B sponsored, $0 managedreported
- Custody of client assets
- $2.0B for 7,298 clientsreported
- Compensation
- % of AUMreported
- 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
- John Walter Healy to LPL Enterprise, LLCAug 24, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Brook P Kramer to Fifth Third Securities, Inc.Aug 24, 2023 · Affiliated broker-dealer or bank to another
- John Calvin Hatfield to LPL Financial LLCAug 24, 2023 · Affiliated broker-dealer or bank to another
- Brett Michael Badalucco to First National Advisers, LLCAug 24, 2023 · Other
- Ricardo J Santamaria to Morgan StanleyAug 24, 2023 · Affiliated broker-dealer or bank to wirehouse
- Shane Alan Mccurry to Wells Fargo AdvisorsAug 24, 2023 · Affiliated broker-dealer or bank to wirehouse
- Timothy Neil Howard to LPL Financial LLCAug 24, 2023 · Affiliated broker-dealer or bank to another
- Sean Koutsakis to LPL Financial LLCAug 24, 2023 · Affiliated broker-dealer or bank to another
- Timothy Asplin to Thrivent Investment Management Inc.Aug 24, 2023 · Affiliated broker-dealer or bank to another
- Jason Thomas Cyza to First Citizens Investor Services, Inc.Aug 24, 2023 · Affiliated broker-dealer or bank to another
- Gregory Michael Hoover to Cetera Investment Advisers LLCAug 24, 2023 · Affiliated broker-dealer or bank to another
- Robert Andres Homar Lopez to Summit Trail Advisors, LLCAug 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- Alton Sidney Fabre to LPL Financial LLCAug 24, 2023 · Affiliated broker-dealer or bank to another
- Matthew Petermann to LPL Financial LLCAug 24, 2023 · Affiliated broker-dealer or bank to another
- Jason Meysenburg to Pnc Wealth ManagementAug 24, 2023 · Affiliated broker-dealer or bank to another
Joined, latest
- Hamy Sharifi from Citigroup Global Markets Inc.Feb 17, 2023 · Affiliated broker-dealer or bank to another
- Ernesto Ivan Rodriguez from Fisher InvestmentsFeb 10, 2023 · RIA to affiliated broker-dealer or bank
- Raul Hernandez from Wells Fargo AdvisorsNov 8, 2022 · Wirehouse to affiliated broker-dealer or bank
- Chimaobi Abarikwu from Morgan StanleyNov 7, 2022 · Wirehouse to affiliated broker-dealer or bank
- Scott K Fogleman from Salient Capital Advisors, LLCOct 31, 2022 · Other
- Michael Rader from Pruco Securities, LLCOct 25, 2022 · Affiliated broker-dealer or bank to another
- Mark Delton from RBC Capital Markets, LLCOct 11, 2022 · Affiliated broker-dealer or bank to another
- Dexter Lee Benjamin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 29, 2022 · Wirehouse to affiliated broker-dealer or bank
- Robert J Lewis from Cambridge Investment Research Advisors, Inc.Sep 8, 2022 · Affiliated broker-dealer or bank to another
- Yi Zhou from Golden Wealth Management GroupSep 7, 2022 · Other
- Delacy Keith Watts from Wells Fargo AdvisorsAug 24, 2022 · Wirehouse to affiliated broker-dealer or bank
- Ashley Diane Garcia from Raymond James & Associates, Inc.Aug 23, 2022 · Affiliated broker-dealer or bank to another
- Brook P Kramer from Syntrinsic Investment Counsel, LLC.Aug 2, 2022 · Other
- Stephen Brian Rouse from Wells Fargo Investments, LLCJun 13, 2022 · Other
- Gloria Chen from Citigroup Global Markets Inc.Jun 3, 2022 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for First National Advisers, LLCAug 24, 2023 · Omaha, Ne
- 2 left for First Citizens Investor Services, Inc.Aug 24, 2023 · Omaha, Ne
- 6 left for LPL Financial LLCAug 24, 2023 · Omaha, Ne
- 2 left for Householder Group Estate & Retirement SpecialistsJul 21, 2022 · Oklahoma City, Ok
- 2 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 13, 2022 · Miami, Az
- 2 left for Charles Schwab & Co., Inc.Sep 8, 2021 · Tempe, Az
- 3 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 22, 2020 · Burbank, Ca
- 2 left for Raymond James & Associates, Inc.Jul 17, 2018 · San Francisco, Ca
- 2 joined from Wells Fargo AdvisorsFeb 20, 2019 · Scottsdale, Az
- 4 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 15, 2018 · Chandler, Az
- 2 joined from Scottrade Investment ManagementMar 8, 2018 · Saint Louis, Mo
- 2 joined from Wells Fargo AdvisorsMar 14, 2016 · Portland, Or
- 2 joined from Edward JonesMar 14, 2016 · Cameron Park, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Rollin Lynn Biel · Bwis Vice President - Chief Financial Officer/Pfocontrolsince 09/2018 · owns less than 5%
- Darin Keith Dubendorf · Bwis President/Ceo - Wmg Head Of Client Solutionscontrolsince 03/2018 · owns less than 5%
- John Calvin Hatfield · Bwis Vice President - Principal Operations Officercontrolsince 09/2018 · owns less than 5%
- Jeffrey Paul Pruitt · Bwis Vice President - Chief Compliance Officercontrolsince 11/2016 · owns less than 5%
Entity owners
- Bmo Harris Bank N.A. · Sole Shareholderdirect · owns 75% or more
- Bank Of Montreal · Shareholderindirect · owns 75% or more of Bmo Financial Corp
- Bmo Financial Corp · Shareholderindirect · owns 75% or more of Bmo Harris Bank N.A.
Related persons
Schedule D 7.A
- Bank Of Montrealy
- Bmo Financial Corporationy
- Bmo Harris Bank N.A.LP sponsory
Offices
Schedule D 1.F, the 25 largest
- Tempe, AZ35 employees
- San Francisco, CA20 employees
- Walnut Creek, CA16 employees
- Pasadena, CA14 employees
- Lake Oswego, OR11 employees
- San Jose, CA11 employees
- Newport Beach, CA10 employees
- Omaha, NE9 employees
- Centennial, CO8 employees
- Omaha, NE8 employees
- New York, NY7 employees
- Sacramento, CA6 employees
- Sacramento, CA6 employees
- San Ramon, CA6 employees
- Albuquerque, NM5 employees
- La Jolla, CA5 employees
- Fargo, ND5 employees
- Los Angeles, CA5 employees
- Beaverton, OR4 employees
- Elk Grove, CA4 employees
- La Habra, CA4 employees
- Garden Grove, CA4 employees
- Newport Beach, CA4 employees
- Sacramento, CA4 employees
- Citrus Heights, CA4 employees
What changed
consecutive filings, newest first
- Accounts · 10,051 to 9,062Feb 2, 2023 to Mar 31, 2023
- Advisory employees · 282 to 272Feb 2, 2023 to Mar 31, 2023
- BD registered reps · 322 to 242Feb 2, 2023 to Mar 31, 2023
- Charity clients · 5 to 6Feb 2, 2023 to Mar 31, 2023
- Corporate clients · 52 to 50Feb 2, 2023 to Mar 31, 2023
- HNW clients · 540 to 544Feb 2, 2023 to Mar 31, 2023
- Individual clients · 7,548 to 6,769Feb 2, 2023 to Mar 31, 2023
- Assets in custody · $2.5B to $2.0BFeb 2, 2023 to Mar 31, 2023
- Employees · 372 to 369Feb 2, 2023 to Mar 31, 2023
- State-registered IARs · 249 to 224Feb 2, 2023 to Mar 31, 2023
- Other offices · 387 to 440Feb 2, 2023 to Mar 31, 2023
- Discretionary RAUM · $2.5B to $2.0BFeb 2, 2023 to Mar 31, 2023
- HNW RAUM · $476M to $538MFeb 2, 2023 to Mar 31, 2023
- Individual RAUM · $2.0B to $1.4BFeb 2, 2023 to Mar 31, 2023
- RAUM · $2.5B to $2.0BFeb 2, 2023 to Mar 31, 2023
- Wrap assets (sponsor) · $2.5B to $2.0BFeb 2, 2023 to Mar 31, 2023
- Related adviser · true to falseNov 3, 2022 to Feb 1, 2023
- Related bank · true to falseNov 3, 2022 to Feb 1, 2023
- Accounts · 9,165 to 10,051Jan 2, 2022 to Mar 31, 2022
- Advisory employees · 243 to 282Jan 2, 2022 to Mar 31, 2022
- BD registered reps · 213 to 322Jan 2, 2022 to Mar 31, 2022
- Corporate clients · 47 to 52Jan 2, 2022 to Mar 31, 2022
- HNW clients · 1,012 to 540Jan 2, 2022 to Mar 31, 2022
- Individual clients · 6,362 to 7,548Jan 2, 2022 to Mar 31, 2022
- Assets in custody · $2.2B to $2.5BJan 2, 2022 to Mar 31, 2022
- Employees · 332 to 372Jan 2, 2022 to Mar 31, 2022
- State-registered IARs · 212 to 249Jan 2, 2022 to Mar 31, 2022
- Other offices · 459 to 387Jan 2, 2022 to Mar 31, 2022
- Discretionary RAUM · $2.2B to $2.5BJan 2, 2022 to Mar 31, 2022
- HNW RAUM · $953M to $476MJan 2, 2022 to Mar 31, 2022
- Individual RAUM · $1.2B to $2.0BJan 2, 2022 to Mar 31, 2022
- RAUM · $2.2B to $2.5BJan 2, 2022 to Mar 31, 2022
- Wrap assets (sponsor) · $2.2B to $2.5BJan 2, 2022 to Mar 31, 2022
- Accounts · 8,995 to 9,165Feb 16, 2021 to Mar 31, 2021
- Advisory employees · 305 to 243Feb 16, 2021 to Mar 31, 2021
- BD registered reps · 254 to 213Feb 16, 2021 to Mar 31, 2021
- Corporate clients · 40 to 47Feb 16, 2021 to Mar 31, 2021
- HNW clients · 183 to 1,012Feb 16, 2021 to Mar 31, 2021
- Individual clients · 7,011 to 6,362Feb 16, 2021 to Mar 31, 2021
- Assets in custody · $1.8B to $2.2BFeb 16, 2021 to Mar 31, 2021
Signals
60 dated events
- Sean Koutsakis left Bancwest Investment Services, Inc. (Bwis) for Lpl Financial Llc (registered 2023-12-11)Aug 24, 2023 · Advisor changed firm · fact
- 2 advisors left Bancwest Investment Services, Inc. (Bwis) (Omaha, NE) for First Citizens Investor Services, Inc. on the same dayAug 24, 2023 · Team lift-out · derived
- Robert Andres Homar Lopez left Bancwest Investment Services, Inc. (Bwis) for Summit Trail Advisors, Llc (registered 2024-02-28)Aug 24, 2023 · Advisor changed firm · fact
- Alton Sidney Fabre left Bancwest Investment Services, Inc. (Bwis) for Lpl Financial Llc (registered 2023-10-10)Aug 24, 2023 · Advisor changed firm · fact
- 6 advisors left Bancwest Investment Services, Inc. (Bwis) (Omaha, NE) for LPL Financial LLC on the same dayAug 24, 2023 · Team lift-out · derived
- Michael David Smith left Bancwest Investment Services, Inc. (Bwis) for First National Advisers, Llc (registered 2026-08-04)Aug 24, 2023 · Advisor changed firm · fact
- Jason Meysenburg left Bancwest Investment Services, Inc. (Bwis) for Pnc Wealth Management (registered 2023-10-26)Aug 24, 2023 · Advisor changed firm · fact
- Jonathan James Derra left Bancwest Investment Services, Inc. (Bwis) for First Citizens Investor Services, Inc. (registered 2023-11-16)Aug 24, 2023 · Advisor changed firm · fact
- Jason Thomas Cyza left Bancwest Investment Services, Inc. (Bwis) for First Citizens Investor Services, Inc. (registered 2023-11-01)Aug 24, 2023 · Advisor changed firm · fact
- Gregory Michael Hoover left Bancwest Investment Services, Inc. (Bwis) for Cetera Investment Advisers Llc (registered 2024-03-21)Aug 24, 2023 · Advisor changed firm · fact
- Timothy Asplin left Bancwest Investment Services, Inc. (Bwis) for Thrivent Investment Management Inc. (registered 2024-06-07)Aug 24, 2023 · Advisor changed firm · fact
- 2 advisors left Bancwest Investment Services, Inc. (Bwis) (Omaha, NE) for First National Advisers, LLC on the same dayAug 24, 2023 · Team lift-out · derived
- John Walter Healy left Bancwest Investment Services, Inc. (Bwis) for Lpl Enterprise, Llc (registered 2024-09-23)Aug 24, 2023 · Advisor changed firm · fact
- Brook P Kramer left Bancwest Investment Services, Inc. (Bwis) for Fifth Third Securities, Inc. (registered 2025-08-08)Aug 24, 2023 · Advisor changed firm · fact
- Matthew Petermann left Bancwest Investment Services, Inc. (Bwis) for Lpl Financial Llc (registered 2025-03-25)Aug 24, 2023 · Advisor changed firm · fact
- John Calvin Hatfield left Bancwest Investment Services, Inc. (Bwis) for Lpl Financial Llc (registered 2023-11-01)Aug 24, 2023 · Advisor changed firm · fact
- Brett Michael Badalucco left Bancwest Investment Services, Inc. (Bwis) for First National Advisers, Llc (registered 2025-03-12)Aug 24, 2023 · Advisor changed firm · fact
- Ricardo J Santamaria left Bancwest Investment Services, Inc. (Bwis) for Morgan Stanley (registered 2023-12-19)Aug 24, 2023 · Advisor changed firm · fact
- Robert J Lewis left Bancwest Investment Services, Inc. (Bwis) for Lpl Financial Llc (registered 2023-10-16)Aug 24, 2023 · Advisor changed firm · fact
- Timothy Neil Howard left Bancwest Investment Services, Inc. (Bwis) for Lpl Financial Llc (registered 2023-11-27)Aug 24, 2023 · Advisor changed firm · fact
- Shane Alan Mccurry left Bancwest Investment Services, Inc. (Bwis) for Wells Fargo Advisors (registered 2023-09-19)Aug 24, 2023 · Advisor changed firm · fact
- Tyler Joseph Prescott left Bancwest Investment Services, Inc. (Bwis) for Iams Wealth Management, Llc (registered 2024-01-03)Jul 28, 2023 · Advisor changed firm · fact
- Jeffrey Patrick Hoffmann (Bwis Sr.Vice President - Wmg Head Of Sales) no longer on Schedule A of Bancwest Investment Services, Inc. (Bwis) (listed 2023-03-31, absent 2023-07-26)Jul 26, 2023 · Control person left · inference
- Donald Lee Fitzsimmons left Bancwest Investment Services, Inc. (Bwis) for Key Investment Services Llc (registered 2023-08-28)Jul 10, 2023 · Advisor changed firm · fact
- Ibun Ando left Bancwest Investment Services, Inc. (Bwis) for Wells Fargo Advisors (registered 2023-06-21)Jun 28, 2023 · Advisor changed firm · fact
- Joseph Leland Mcmanus left Bancwest Investment Services, Inc. (Bwis) for Vanguard Advisers, Inc. (registered 2026-06-22)Jun 5, 2023 · Advisor changed firm · fact
- Andrew Hunt left Bancwest Investment Services, Inc. (Bwis) for Securities America Advisors, Inc. (registered 2023-05-26)May 12, 2023 · Advisor changed firm · fact
- Cheryl Hom left Bancwest Investment Services, Inc. (Bwis) for First Citizens Investor Services, Inc. (registered 2023-05-08)Apr 21, 2023 · Advisor changed firm · fact
- Jenifer Kim Woolcott left Bancwest Investment Services, Inc. (Bwis) for Rbc Capital Markets, Llc (registered 2023-05-17)Apr 11, 2023 · Advisor changed firm · fact
- Bancwest Investment Services, Inc. (Bwis) reported 440 offices beyond its principal office, up from 387 (2023-02-02 to 2023-03-31)Mar 31, 2023 · Office count change · derived
Across DFX
shared identifiers only, never a name match
- Bancwest Investment Services, Inc. (bwis) · Private Equityshared crd · intermediary
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