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••••••••• W•••••
Legal name B••••••••• A•••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Dec 18, 2018 · 32 filings
SEC status approved since Jan 28, 2019
RAUM
$784M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$686M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$98.0M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$784M as of Mar 31, 2026
Mar 4, 2020$234M then
HNW client RAUM$546M as of Mar 31, 2026
Mar 4, 2020$157M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 4, 20206 then
Employees (5.A)12 as of Mar 31, 2026
Mar 4, 20206 then
Private funds: no history
RAUM +14% over the last fiscal year+20% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Sep 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
- RAUM per advisor
- $98.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $536,635derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $220M, 140 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$546M70%
- Individuals$140M18%
- Corporations and businesses$51.1M6.5%
- Charitable organizations$28.6M3.6%
- Pension and profit-sharing plans$18.6M2.4%
- Individual clients
- 347reported
- HNW clients
- 135reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 1,461reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $220M for 140 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• S••••••• B••••• | Lincoln, Ne | Mar 15, 2019 | 29 y | 3 |
| B•••• L••••• B••••••• | Manchester, Nh | Mar 15, 2019 | 39 y | 3 |
| A••• N••••• B••••••• | Goffstown, Nh | Mar 15, 2019 | 35 y | 3 |
| L•••• D••• F••••Chartered Financial Consultant | Lincoln, Ne | Mar 22, 2019 | 42 y | 4 |
| L•••• T•••• N••••••• | Lincoln, Ne | Apr 4, 2023 | 12 y | 1 |
| N•••• J• K••••• | Lincoln, Ne | Apr 13, 2026 | 34 y | 0 |
| A••• R••••• S••• | Lincoln, Ne | Jun 29, 2026 | 11 y | 0 |
| J•••• D••••• | Lincoln, Ne | Aug 17, 2026 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- H••• E••• H••••• to F•••• P••••••• W•••••• L••May 28, 2026 · RIA to RIA
- J••••••••• R•••• B••••• to F•••• P••••••• W•••••• L••Sep 15, 2025 · RIA to RIA
Joined, latest
- L•••• T•••• N••••••• from S••••••••• A•••••• A•••••••• I•••Apr 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- L•••• D••• F•••• from K••••• A••••••• S•••••••• L••Mar 22, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• N••••• B••••••• from K••••• A••••••• S•••••••• L••Mar 15, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••• S••••••• B••••• from K••••• A••••••• S•••••••• L••Mar 15, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• L••••• B••••••• from K••••• A••••••• S•••••••• L••Mar 15, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• A••••••• S•••••••• L••Nov 18, 2019 · Lincoln, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••• S••••••• · Chief Compliance Officercontrolsince 12/2018 · owns less than 5%
- B•••••• C••••• S••••••• · Trusteecontrolsince 01/2023 · owns 75% or more of C•••• B••••• R•••••••• T••••
Entity owners
- C•••• B••••• R•••••••• T•••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Lincoln, Ne · principal | 8 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Mar 31, 2026 to Sep 4, 2026
- Related adviser · false to trueMar 31, 2026 to Sep 4, 2026
- Succession · false to unsetMar 31, 2026 to Sep 4, 2026
- Accounts · 1,266 to 1,461May 8, 2025 to Mar 31, 2026
- Advisory employees · 5 to 7May 8, 2025 to Mar 31, 2026
- HNW clients · 114 to 135May 8, 2025 to Mar 31, 2026
- Individual clients · 362 to 347May 8, 2025 to Mar 31, 2026
- Pension plan clients · 14 to 12May 8, 2025 to Mar 31, 2026
- Assets in custody · $288M to $220MMay 8, 2025 to Mar 31, 2026
- Employees · 10 to 12May 8, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6May 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $662M to $783MMay 8, 2025 to Mar 31, 2026
- HNW RAUM · $494M to $546MMay 8, 2025 to Mar 31, 2026
- Individual RAUM · $145M to $140MMay 8, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $22.6M to $1.2MMay 8, 2025 to Mar 31, 2026
- Pension RAUM · $22.2M to $18.6MMay 8, 2025 to Mar 31, 2026
- RAUM · $685M to $784MMay 8, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 51-100Mar 29, 2025 to May 8, 2025
- Accounts · 1,119 to 1,266Nov 12, 2024 to Mar 29, 2025
- Advisory employees · 4 to 5Nov 12, 2024 to Mar 29, 2025
- Charity clients · 5.0 to unsetNov 12, 2024 to Mar 29, 2025
- HNW clients · 87 to 114Nov 12, 2024 to Mar 29, 2025
- Individual clients · 337 to 362Nov 12, 2024 to Mar 29, 2025
- Pension plan clients · 10 to 14Nov 12, 2024 to Mar 29, 2025
- Employees · 11 to 10Nov 12, 2024 to Mar 29, 2025
- State-registered IARs · 4 to 5Nov 12, 2024 to Mar 29, 2025
- Discretionary RAUM · $517M to $662MNov 12, 2024 to Mar 29, 2025
- HNW RAUM · $356M to $494MNov 12, 2024 to Mar 29, 2025
- Individual RAUM · $121M to $145MNov 12, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $0 to $22.6MNov 12, 2024 to Mar 29, 2025
- Pension RAUM · $20.6M to $22.2MNov 12, 2024 to Mar 29, 2025
- RAUM · $517M to $685MNov 12, 2024 to Mar 29, 2025
- BD registered reps · 2 to 0Mar 21, 2024 to Jun 18, 2024
- Accounts · 952 to 1,119Jan 3, 2024 to Mar 20, 2024
- Advisory employees · 3 to 4Jan 3, 2024 to Mar 20, 2024
- Charity clients · unset to 5.0Jan 3, 2024 to Mar 20, 2024
- Corporate clients · 8 to 10Jan 3, 2024 to Mar 20, 2024
- HNW clients · 80 to 87Jan 3, 2024 to Mar 20, 2024
- Individual clients · 279 to 337Jan 3, 2024 to Mar 20, 2024
- Pension plan clients · 12 to 10Jan 3, 2024 to Mar 20, 2024
Signals
5 dated events
- H••• E••• H••••• left B••••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2026-06-10)May 28, 2026 · Advisor changed firm · fact
- J••••••••• R•••• B••••• left B••••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2025-09-16)Sep 15, 2025 · Advisor changed firm · fact
- B••••••••• W••••• reported RAUM $685.0M, up 33% from $516.6M (2024-11-12 to 2025-03-29)Mar 29, 2025 · RAUM change · derived
- B••••••••• W••••• reported RAUM $441.7M, up 35% from $327.9M (2021-03-05 to 2022-02-11)Feb 11, 2022 · RAUM change · derived
- B••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 18, 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 phone
- 402-476-8844reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/bellwether-wealth/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- bellwetherwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-476-8844reportedpublic record, Form ADV, Sep 4, 2026
- Team page
- bellwetherwealth.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
- $98.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026