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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Former SEC-registered adviser
B•••• E••••• P••••••• • W••••• A•••••••
Legal name B•••• W••••• A••••••• L••
Latest filing Mar 16, 2022
First filing on the tape Aug 8, 2019 · 21 filings
RAUM
$343M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$343M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$343M as of Mar 16, 2022
Jan 31, 2020$172M then
HNW client RAUM$170M as of Mar 16, 2022
Jan 31, 2020$61.7M then
State-registered IARs (5.B.3)5 as of Mar 16, 2022
Jan 31, 20205 then
Employees (5.A)7 as of Mar 16, 2022
Jan 31, 20205 then
Private funds: no history
RAUM +43% over the last fiscal yearIARs 6 to 5offices 5 to 7
Practice profile
derived from the filing of Mar 16, 2022; every figure names its basis
- RAUM per advisor
- $68.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $233,274derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 0.6derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $343MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$173M50%
- High-net-worth individuals$170M50%
- Individual clients
- 563reported
- HNW clients
- 90reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,470reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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
- E••••• M••••••• B•••• to P•••• C•••••• F••••••••Aug 23, 2022 · RIA to RIA
- C••••••••• L•••• B•••• to P•••• C•••••• F••••••••Aug 5, 2022 · RIA to RIA
- A••••• R•••• T•••••• to P•••• C•••••• F••••••••Jul 26, 2022 · RIA to RIA
- C•••••••• P••• M••••• C•••••• to P•••• C•••••• F••••••••Jul 26, 2022 · RIA to RIA
- J•• S•••• G•••••• to P•••• C•••••• F••••••••Jul 26, 2022 · RIA to RIA
- G••••• G••••• G••••••• to P•••• C•••••• F••••••••Jul 26, 2022 · RIA to RIA
- A••• R•••••• A•••• to P•••• C•••••• F••••••••Jul 26, 2022 · RIA to RIA
Joined, latest
- G••••• G••••• G••••••• from A• W••••• M••••••••• L••Apr 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••• R•••••• A•••• from C••••• W••••• A•••••••Mar 4, 2021 · Other
- J•• S•••• G•••••• from A• W••••• M••••••••• L••Apr 30, 2020 · RIA to RIA
- E••••• M••••••• B•••• from A• W••••• M••••••••• L••Sep 26, 2019 · RIA to a newly registered adviser
- C••••••••• L•••• B•••• from A• W••••• M••••••••• L••Sep 26, 2019 · RIA to a newly registered adviser
- C•••••••• P••• M••••• C•••••• from A• W••••• M••••••••• L••Sep 25, 2019 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for P•••• C•••••• F••••••••Jul 26, 2022 · Hammond, La · Firm absorbed
- 3 joined from A• W••••• M••••••••• L••Sep 26, 2019 · Hattiesburg, Ms
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• K•••••••• A•• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- B••••• E•••••• M•••••••• · Managing Membercontrolsince 02/2015 · owns 75% or more
- B••••• C••••••••• L•••• · Financial Advisorsince 08/2019 · owns less than 5%
- B••••• D••••• R•• · Financial Advisorsince 01/2021 · owns less than 5%
- C••••••• C••••••••• P••• M••••• · Financial Advisorsince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- B•••• E••••• P•••••••real estaten
Offices
Schedule D 1.F, the 25 largest
- Baton Rouge, LA1 employees
- Destin, FL1 employees
- Mandeville, LA1 employees
- Metairie, LA1 employees
- Panama City Beach, FL1 employees
- Pensacola, FL1 employees
- Slidell, LA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,245 to 1,470Apr 16, 2021 to Mar 16, 2022
- Advisory employees · 9 to 7Apr 16, 2021 to Mar 16, 2022
- HNW clients · 53 to 90Apr 16, 2021 to Mar 16, 2022
- Individual clients · 495 to 563Apr 16, 2021 to Mar 16, 2022
- Employees · 9 to 7Apr 16, 2021 to Mar 16, 2022
- State-registered IARs · 7 to 5Apr 16, 2021 to Mar 16, 2022
- Other offices · 5 to 7Apr 16, 2021 to Mar 16, 2022
- HNW RAUM · $95.6M to $170MApr 16, 2021 to Mar 16, 2022
- Individual RAUM · $145M to $173MApr 16, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $240M to $343MApr 16, 2021 to Mar 16, 2022
- RAUM · $240M to $343MApr 16, 2021 to Mar 16, 2022
- Advisory employees · 8 to 9Mar 4, 2021 to Mar 8, 2021
- Employees · 8 to 9Mar 4, 2021 to Mar 8, 2021
- State-registered IARs · 6 to 7Mar 4, 2021 to Mar 8, 2021
- Accounts · 1,031 to 1,245Oct 21, 2020 to Mar 4, 2021
- Advisory employees · 7 to 8Oct 21, 2020 to Mar 4, 2021
- HNW clients · 45 to 53Oct 21, 2020 to Mar 4, 2021
- Individual clients · 445 to 495Oct 21, 2020 to Mar 4, 2021
- Employees · 7 to 8Oct 21, 2020 to Mar 4, 2021
- State-registered IARs · 5 to 6Oct 21, 2020 to Mar 4, 2021
- Other offices · 4 to 5Oct 21, 2020 to Mar 4, 2021
- HNW RAUM · $82.1M to $95.6MOct 21, 2020 to Mar 4, 2021
- Individual RAUM · $132M to $145MOct 21, 2020 to Mar 4, 2021
- Non-discretionary RAUM · $214M to $240MOct 21, 2020 to Mar 4, 2021
- RAUM · $214M to $240MOct 21, 2020 to Mar 4, 2021
- Accounts · 1,060 to 1,031Jun 8, 2020 to Sep 25, 2020
- Advisory employees · 6 to 7Jun 8, 2020 to Sep 25, 2020
- HNW clients · 46 to 45Jun 8, 2020 to Sep 25, 2020
- Individual clients · 483 to 445Jun 8, 2020 to Sep 25, 2020
- Employees · 6 to 7Jun 8, 2020 to Sep 25, 2020
- Insurance-licensed employees · 5 to 0Jun 8, 2020 to Sep 25, 2020
- State-registered IARs · 6 to 5Jun 8, 2020 to Sep 25, 2020
- Other offices · 0 to 4Jun 8, 2020 to Sep 25, 2020
- HNW RAUM · $77.1M to $82.1MJun 8, 2020 to Sep 25, 2020
- Individual RAUM · $91.3M to $132MJun 8, 2020 to Sep 25, 2020
- Non-discretionary RAUM · $168M to $214MJun 8, 2020 to Sep 25, 2020
- RAUM · $168M to $214MJun 8, 2020 to Sep 25, 2020
- Business name · B•••• W••••• A••••••• L•• to B•••• E••••• P••••••• • W••••• A•••••••May 29, 2020 to Jun 8, 2020
- Accounts · 946 to 1,060May 6, 2020 to May 18, 2020
- HNW clients · 34 to 46May 6, 2020 to May 18, 2020
Signals
11 dated events
- E••••• M••••••• B•••• left B•••• E••••• P••••••• • W••••• A••••••• for P•••• C•••••• F•••••••• (registered 2022-07-18)Aug 23, 2022 · Advisor changed firm · fact
- C••••••••• L•••• B•••• left B•••• E••••• P••••••• • W••••• A••••••• for P•••• C•••••• F•••••••• (registered 2022-07-07)Aug 5, 2022 · Advisor changed firm · fact
- A••• R•••••• A•••• left B•••• E••••• P••••••• • W••••• A••••••• for P•••• C•••••• F•••••••• (registered 2022-07-15)Jul 26, 2022 · Advisor changed firm · fact
- B•••• E••••• P••••••• • W••••• A•••••••'s advisors moved to P•••• C•••••• F•••••••• (Hammond, LA): 5 of 7 registered, on the same dayJul 26, 2022 · Firm absorbed (people side) · derived
- J•• S•••• G•••••• left B•••• E••••• P••••••• • W••••• A••••••• for P•••• C•••••• F•••••••• (registered 2022-07-20)Jul 26, 2022 · Advisor changed firm · fact
- A••••• R•••• T•••••• left B•••• E••••• P••••••• • W••••• A••••••• for P•••• C•••••• F•••••••• (registered 2022-07-05)Jul 26, 2022 · Advisor changed firm · fact
- G••••• G••••• G••••••• left B•••• E••••• P••••••• • W••••• A••••••• for P•••• C•••••• F•••••••• (registered 2022-07-05)Jul 26, 2022 · Advisor changed firm · fact
- C•••••••• P••• M••••• C•••••• left B•••• E••••• P••••••• • W••••• A••••••• for P•••• C•••••• F•••••••• (registered 2022-07-05)Jul 26, 2022 · Advisor changed firm · fact
- B•••• E••••• P••••••• • W••••• A••••••• reported RAUM $342.9M, up 43% from $240.4M (2021-04-16 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- Ann Kimberly Artmont (Chief Compliance Officer) appeared on Schedule A of B•••• E••••• P••••••• • W••••• A•••••••Mar 16, 2022 · Control person joined · fact
- B•••• W••••• A••••••• filed its initial SEC registration (Form ADV)Aug 8, 2019 · 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.
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