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 Harbor Wealth Management, LLC
Latest filing Aug 4, 2026
First filing on the tape Sep 12, 2018 · 22 filings
SEC status approved since Oct 11, 2018
RAUM
$412M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$408M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$412M as of Aug 4, 2026
Feb 5, 2019$132M then
HNW client RAUM$308M as of Aug 4, 2026
Feb 5, 2019$86.8M then
State-registered IARs (5.B.3)4 as of Aug 4, 2026
Feb 5, 20192 then
Employees (5.A)6 as of Aug 4, 2026
Feb 5, 20194 then
Private funds: no history
RAUM +22% over the last fiscal year+20% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Aug 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $299,632derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $79.8M, 197 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$308M75%
- Individuals$99.9M24%
- Corporations and businesses$3.7M0.9%
- Individual clients
- 266reported
- HNW clients
- 130reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,375reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $79.8M for 197 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lance Reid Scott | Hunt Valley, Md | Oct 11, 2018 | 16 y | 3 |
| John Francis MoranCertified Financial Planner | Hunt Valley, Md | Oct 11, 2018 | 12 y | 2 |
| Andrew Benjamin Anthony | Hunt Valley, Md | Jul 19, 2023 | 11 y | 0 |
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
- Lance Reid Scott from Bay Harbor Wealth Management, LLCOct 11, 2018 · Other
- John Francis Moran from Global Financial Private Capital, Inc.Oct 11, 2018 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Reid Lance Scott · President/Chief Compliance Officercontrolsince 08/2018 · owns 75% or more
Related persons
Schedule D 7.A
- Bay Harbor Insurance, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hunt Valley, Md · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,324 to 1,375Aug 11, 2025 to Mar 20, 2026
- Corporate clients · unset to 3.0Aug 11, 2025 to Mar 20, 2026
- HNW clients · 122 to 130Aug 11, 2025 to Mar 20, 2026
- Individual clients · 263 to 266Aug 11, 2025 to Mar 20, 2026
- Assets in custody · $65.6M to $79.8MAug 11, 2025 to Mar 20, 2026
- State-registered IARs · 3 to 4Aug 11, 2025 to Mar 20, 2026
- Discretionary RAUM · $337M to $412MAug 11, 2025 to Mar 20, 2026
- HNW RAUM · $246M to $308MAug 11, 2025 to Mar 20, 2026
- Individual RAUM · $88.3M to $99.9MAug 11, 2025 to Mar 20, 2026
- RAUM · $337M to $412MAug 11, 2025 to Mar 20, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Aug 11, 2025
- Accounts · 1,253 to 1,324Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 3 to 4Mar 28, 2024 to Mar 26, 2025
- Corporate clients · 3.0 to unsetMar 28, 2024 to Mar 26, 2025
- HNW clients · 111 to 122Mar 28, 2024 to Mar 26, 2025
- Individual clients · 264 to 263Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $46.4M to $65.6MMar 28, 2024 to Mar 26, 2025
- Employees · 5 to 6Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $292M to $337MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $205M to $246MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $83.3M to $88.3MMar 28, 2024 to Mar 26, 2025
- RAUM · $292M to $337MMar 28, 2024 to Mar 26, 2025
- Wrap assets (manager) · unset to 0.0Mar 28, 2024 to Mar 26, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 28, 2024 to Mar 26, 2025
- Accounts · 1,218 to 1,253Mar 30, 2023 to Mar 28, 2024
- Advisory activities · 4 to 3Mar 30, 2023 to Mar 28, 2024
- HNW clients · 103 to 111Mar 30, 2023 to Mar 28, 2024
- Individual clients · 263 to 264Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $38.0M to $46.4MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $238M to $292MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $169M to $205MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $66.4M to $83.3MMar 30, 2023 to Mar 28, 2024
- RAUM · $238M to $292MMar 30, 2023 to Mar 28, 2024
- Accounts · 1,144 to 1,218Aug 1, 2022 to Mar 30, 2023
- HNW clients · 503 to 103Aug 1, 2022 to Mar 30, 2023
- Individual clients · 638 to 263Aug 1, 2022 to Mar 30, 2023
- Assets in custody · $34.6M to $38.0MAug 1, 2022 to Mar 30, 2023
- Financial planning clients · 1-10 to 0Aug 1, 2022 to Mar 30, 2023
- Discretionary RAUM · $255M to $238MAug 1, 2022 to Mar 30, 2023
- HNW RAUM · $183M to $169MAug 1, 2022 to Mar 30, 2023
Signals
1 dated events
- Bay Harbor Wealth Management, Llc filed its initial SEC registration (Form ADV)Sep 12, 2018 · 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@bayharborwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-403-2060reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/bayharborwealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- BAYHARBORWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 410-403-2060reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- bayharborwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bayharborwealth.com/our-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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026