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 Mar 22, 2023
First filing on the tape Nov 21, 2019 · 22 filings
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 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$157M as of Aug 15, 2022
Jun 9, 2021$188M then
HNW client RAUM$142M as of Aug 15, 2022
Jun 9, 2021$170M then
State-registered IARs (5.B.3)2 as of Aug 15, 2022
Jun 9, 20212 then
Employees (5.A)3 as of Aug 15, 2022
Jun 9, 20215 then
Private funds: no history
RAUM -16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
- RAUM per advisor
- $78.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $485,711derivedHNW RAUM over HNW clients
- Average account
- $457,714derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$142M91%
- Individuals$14.7M9.4%
- Individual clients
- 50reported
- HNW clients
- 293reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 343reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D•••••• T••••••••• to F••••• C••••••Jun 15, 2023 · RIA to a newly registered adviser
Joined, latest
- D•••••• T••••••••• from F••••• C••••••Feb 21, 2020 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• K••••••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- B••••• J•••••• B•••••• · Membersince 02/2020 · owns 25% to 50%
Entity owners
- B•••••• R••••••• • C•••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••••• R••••••• • C••••••• L•••••insurancey
Advisers that list B•• W••••• M••••••••• L•• as a related person
- 130073 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 369 to 343Dec 7, 2021 to Aug 15, 2022
- HNW clients · 318 to 293Dec 7, 2021 to Aug 15, 2022
- Individual clients · 51 to 50Dec 7, 2021 to Aug 15, 2022
- Employees · 5 to 3Dec 7, 2021 to Aug 15, 2022
- Discretionary RAUM · $188M to $157MDec 7, 2021 to Aug 15, 2022
- HNW RAUM · $170M to $142MDec 7, 2021 to Aug 15, 2022
- Individual RAUM · $18.0M to $14.7MDec 7, 2021 to Aug 15, 2022
- RAUM · $188M to $157MDec 7, 2021 to Aug 15, 2022
- Accounts · 378 to 369Apr 20, 2021 to Jun 9, 2021
- HNW clients · 325 to 318Apr 20, 2021 to Jun 9, 2021
- Individual clients · 53 to 51Apr 20, 2021 to Jun 9, 2021
- Discretionary RAUM · $186M to $188MApr 20, 2021 to Jun 9, 2021
- HNW RAUM · $168M to $170MApr 20, 2021 to Jun 9, 2021
- Individual RAUM · $17.6M to $18.0MApr 20, 2021 to Jun 9, 2021
- RAUM · $186M to $188MApr 20, 2021 to Jun 9, 2021
- Accounts · 278 to 378Mar 3, 2021 to Mar 18, 2021
- HNW clients · 128 to 325Mar 3, 2021 to Mar 18, 2021
- Individual clients · 150 to 53Mar 3, 2021 to Mar 18, 2021
- HQ city · CHARLOTTE to CONCORDMar 3, 2021 to Mar 18, 2021
- Other offices · 1 to 0Mar 3, 2021 to Mar 18, 2021
- Discretionary RAUM · $170M to $186MMar 3, 2021 to Mar 18, 2021
- HNW RAUM · $70.9M to $168MMar 3, 2021 to Mar 18, 2021
- Individual RAUM · $98.7M to $17.6MMar 3, 2021 to Mar 18, 2021
- RAUM · $170M to $186MMar 3, 2021 to Mar 18, 2021
- Related adviser · true to falseMar 3, 2021 to Mar 18, 2021
- Accounts · 149 to 278Jun 3, 2020 to Jul 22, 2020
- Individual clients · 21 to 150Jun 3, 2020 to Jul 22, 2020
- Discretionary RAUM · $107M to $170MJun 3, 2020 to Jul 22, 2020
- HNW RAUM · $83.0M to $70.9MJun 3, 2020 to Jul 22, 2020
- Individual RAUM · $23.7M to $98.7MJun 3, 2020 to Jul 22, 2020
- RAUM · $107M to $170MJun 3, 2020 to Jul 22, 2020
- Accounts · 0 to 149Mar 18, 2020 to May 1, 2020
- HNW clients · unset to 128.0Mar 18, 2020 to May 1, 2020
- Individual clients · unset to 21.0Mar 18, 2020 to May 1, 2020
- Discretionary RAUM · $0 to $107MMar 18, 2020 to May 1, 2020
- HNW RAUM · unset to 82990901.0Mar 18, 2020 to May 1, 2020
- Individual RAUM · unset to 23711686.0Mar 18, 2020 to May 1, 2020
- RAUM · $0 to $107MMar 18, 2020 to May 1, 2020
- Advisory activities · 4 to 3Mar 10, 2020 to Mar 18, 2020
- Business name · F••••• C•••••• to B•• W••••• M••••••••• L••Mar 10, 2020 to Mar 18, 2020
Signals
7 dated events
- D•••••• T••••••••• left B•• W••••• M••••••••• L•• for F••••• C•••••• (registered 2023-06-04)Jun 15, 2023 · Advisor changed firm · fact
- D••• C•••••• (Chief Compliance Officer) no longer on Schedule A of B•• W••••• M••••••••• L•• (listed 2022-08-15, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- K••••••• R•••••••• (Chief Compliance Officer) appeared on Schedule A of B•• W••••• M••••••••• L••Mar 22, 2023 · Control person joined · fact
- David Carey Mcclure (Member/Chief Compliance Officer) no longer on Schedule A of B•• W••••• M••••••••• L•• (listed 2021-06-09, absent 2021-12-07)Dec 7, 2021 · Control person left · inference
- D••• C•••••• (Chief Compliance Officer) appeared on Schedule A of B•• W••••• M••••••••• L••Dec 7, 2021 · Control person joined · fact
- Binford Julien Booth (Member/Ceo) appeared on Schedule A of B•• W••••• M••••••••• L••Feb 21, 2020 · Control person joined · fact
- B•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 21, 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