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••••••• W••••• M••••••••• L••
Latest filing Jul 8, 2021
First filing on the tape Sep 5, 2019 · 7 filings
RAUM
$576M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$563M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$576M as of Mar 11, 2021
Jan 31, 2020$465M then
HNW client RAUM$494M as of Mar 11, 2021
Jan 31, 2020$383M then
State-registered IARs (5.B.3)5 as of Mar 11, 2021
Jan 31, 20204 then
Employees (5.A)9 as of Mar 11, 2021
Jan 31, 20207 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Jul 8, 2021; every figure names its basis
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $352,830derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $30.0M, 34 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)
- 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$494M86%
- Individuals$69.2M12%
- Corporations and businesses$13.1M2.3%
- Individual clients
- 164reported
- HNW clients
- 176reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,633reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.0M for 34 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
- J••••• J••• G••••••• to H•••••••• A•••••••• L••Dec 10, 2021 · RIA to affiliated broker-dealer or bank
- S••• T••••• A•••• to H•••••••• A•••••••• L••Dec 10, 2021 · RIA to affiliated broker-dealer or bank
- A••••• S••• to H•••••••• A•••••••• L••Dec 10, 2021 · RIA to affiliated broker-dealer or bank
- R•••• K••••••• C•••••• to H•••••••• A•••••••• L••Dec 10, 2021 · RIA to affiliated broker-dealer or bank
- A••••• K•••••• S••••••• to H•••••••• A•••••••• L••Dec 10, 2021 · RIA to affiliated broker-dealer or bank
- D••• S•••••••• M••••••• to R•••••• J•••• • A••••••••• I•••Sep 29, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• K•••••• S••••••• from N••••• C•••••• M•••••••••Apr 29, 2021 · RIA to RIA
- J••••• J••• G••••••• from H•••••• B•••Mar 5, 2021 · RIA to RIA
- D••• S•••••••• M••••••• from T••••••••• M•••••••••Jun 22, 2020 · RIA to RIA
- S••• T••••• A•••• from Y••• R••••••••• C••••May 8, 2020 · RIA to RIA
- A••••• S••• from R•••••• W••••• M••••••••• L••Jan 21, 2020 · RIA to a newly registered adviser
- R•••• K••••••• C•••••• from R•••••• W••••• M••••••••• L••Oct 3, 2019 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for H•••••••• A•••••••• L••Dec 10, 2021 · Alpharetta, Ga · Firm absorbed
- 2 joined from R•••••• W••••• M••••••••• L••Dec 31, 2019 · Alpharetta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R••••• K••••••• · Managing Membercontrolsince 08/2019 · owns 75% or more
- M•••••• L••••• · Chief Operating Officer / Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,506 to 1,633Sep 25, 2020 to Mar 11, 2021
- Advisory employees · 4 to 5Sep 25, 2020 to Mar 11, 2021
- Corporate clients · 6 to 9Sep 25, 2020 to Mar 11, 2021
- HNW clients · 152 to 176Sep 25, 2020 to Mar 11, 2021
- Individual clients · 149 to 164Sep 25, 2020 to Mar 11, 2021
- Assets in custody · $228M to $30.0MSep 25, 2020 to Mar 11, 2021
- Employees · 7 to 9Sep 25, 2020 to Mar 11, 2021
- State-registered IARs · 4 to 5Sep 25, 2020 to Mar 11, 2021
- Discretionary RAUM · $465M to $576MSep 25, 2020 to Mar 11, 2021
- HNW RAUM · $383M to $494MSep 25, 2020 to Mar 11, 2021
- Individual RAUM · $68.9M to $69.2MSep 25, 2020 to Mar 11, 2021
- RAUM · $465M to $576MSep 25, 2020 to Mar 11, 2021
- HQ city · unset to ALPHARETTAJun 23, 2020 to Sep 25, 2020
- HQ state · unset to GAJun 23, 2020 to Sep 25, 2020
- Related insurance company · true to falseJun 23, 2020 to Sep 25, 2020
- Accounts · 0 to 1,506Sep 5, 2019 to Jan 31, 2020
- Advisory employees · 1 to 4Sep 5, 2019 to Jan 31, 2020
- Corporate clients · unset to 6.0Sep 5, 2019 to Jan 31, 2020
- HNW clients · unset to 152.0Sep 5, 2019 to Jan 31, 2020
- Individual clients · unset to 149.0Sep 5, 2019 to Jan 31, 2020
- Assets in custody · unset to 227974768.0Sep 5, 2019 to Jan 31, 2020
- Custody of client assets · false to trueSep 5, 2019 to Jan 31, 2020
- Employees · 1 to 7Sep 5, 2019 to Jan 31, 2020
- Insurance-licensed employees · 1 to 0Sep 5, 2019 to Jan 31, 2020
- Financial planning clients · unset to 251-500Sep 5, 2019 to Jan 31, 2020
- State-registered IARs · 1 to 4Sep 5, 2019 to Jan 31, 2020
- Discretionary RAUM · $0 to $465MSep 5, 2019 to Jan 31, 2020
- HNW RAUM · unset to 383400536.0Sep 5, 2019 to Jan 31, 2020
- Individual RAUM · unset to 68884929.0Sep 5, 2019 to Jan 31, 2020
- RAUM · $0 to $465MSep 5, 2019 to Jan 31, 2020
Signals
2 dated events
- Lesley Murray (Chief Operating Officer / Chief Compliance Officer) appeared on Schedule A of Bluerock Wealth Management, LlcJan 31, 2020 · Control person joined · fact
- Bluerock Wealth Management, Llc filed its initial SEC registration (Form ADV)Sep 5, 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