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
Copper Beech Financial Group, LLC
Latest filing Mar 12, 2026
First filing on the tape May 6, 2021 · 31 filings
SEC status approved since Jun 11, 2021
RAUM
$197M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
55%
$108M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.8M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$197M as of Mar 12, 2026
Mar 23, 2022$101M then
HNW client RAUM$86.8M as of Mar 12, 2026
Mar 23, 2022$28.6M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 23, 20223 then
Employees (5.A)9 as of Mar 12, 2026
Mar 23, 20226 then
Private funds: no history
RAUM +4.4% over the last fiscal year+29% a year over threeIARs 5 to 2
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $65.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $338,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $5.8M, 1 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
- 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)
- 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$86.8M44%
- Insurance companies$59.0M30%
- Corporations and businesses$23.1M12%
- Individuals$21.6M11%
- Pension and profit-sharing plans$6.9M3.5%
- Individual clients
- 58reported
- HNW clients
- 60reported
- Pension plan clients
- 27reported
- Charitable clients
- 0reported
- Accounts
- 584reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.8M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.55 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Cody Baldwin | Moorestown, Nj | Jan 29, 2024 | 12 y | 0 |
| Michael Parise | Moorestown, Nj | Jan 7, 2025 | 16 y | 3 |
| John Parise | Moorestown, Nj | Nov 10, 2025 | 40 y | 5 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- Christopher Ruffino to Raymond James Financial Services Advisors, IncOct 15, 2025 · RIA to affiliated broker-dealer or bank
- Donald Robert Burnaford to Osaic Wealth, Inc.Mar 20, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- John Parise from Osaic Wealth, Inc.Nov 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael Parise from Osaic Wealth, Inc.Jan 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Christopher Ruffino from Edward JonesMar 13, 2023 · Affiliated broker-dealer or bank to independent RIA
- Donald Robert Burnaford from Family Office Partners, Inc.Aug 12, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Osaic Wealth, Inc.Aug 4, 2026 · Moorestown, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Parise · Chief Executive Officercontrolsince 01/2021 · owns less than 5%
- Michael Parise · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- Raddin Peter Moison · Ownercontrolsince 09/2022 · owns 75% or more of Castle Reinsurance Ltd Pcc F/B/O Sand Point Irrevocable Trust
- Raddin Peter Moison · Ownercontrolsince 09/2022 · owns 75% or more of Castle Reinsurance Ltd Pcc F/B/O Bayside Irrevocable Trust
Entity owners
- Cb Tree Holdings, LLC · Holding Companydirect · owns 75% or more
- Castle Reinsurance Ltd Pcc F/B/O Bayside Irrevocable Trust · Ownerindirect · owns 75% or more of Sa 1127, LLC
- Castle Reinsurance Ltd Pcc F/B/O Sand Point Irrevocable Trust · Ownerindirect · owns 75% or more of Sa 1128, LLC
- Sa 1127, LLC · Ownerindirect · owns 50% to 75% of Cb Tree Holdings, LLC
- Sa 1128, LLC · Ownerindirect · owns 50% to 75% of Cb Tree Holdings, LLC
Related persons
Schedule D 7.A
- Copper Beech Risk Management, LLCreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Moorestown, Nj · principal | 3 | 1 | 1 | ||
| Harvey Cedars, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Raleigh, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 12, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 2.0 (-60.0%) between the annual amendments of 2025-03-24 and 2026-03-12; the peer median change was 0.0% (965 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 1.3% percentile
What changed
consecutive filings, newest first
- BD registered reps · 3 to 4Jan 5, 2026 to Mar 12, 2026
- Accounts · 468 to 584Jan 5, 2026 to Mar 12, 2026
- Advisory employees · 3 to 4Jan 5, 2026 to Mar 12, 2026
- Corporate clients · 30 to 21Jan 5, 2026 to Mar 12, 2026
- HNW clients · 80 to 60Jan 5, 2026 to Mar 12, 2026
- Individual clients · 66 to 58Jan 5, 2026 to Mar 12, 2026
- Pension plan clients · 4 to 27Jan 5, 2026 to Mar 12, 2026
- Assets in custody · $2.9M to $5.8MJan 5, 2026 to Mar 12, 2026
- Employees · 8 to 9Jan 5, 2026 to Mar 12, 2026
- State-registered IARs · 3 to 2Jan 5, 2026 to Mar 12, 2026
- Discretionary RAUM · $131M to $141MJan 5, 2026 to Mar 12, 2026
- HNW RAUM · $89.8M to $86.8MJan 5, 2026 to Mar 12, 2026
- Individual RAUM · $30.2M to $21.6MJan 5, 2026 to Mar 12, 2026
- Non-discretionary RAUM · $58.2M to $56.3MJan 5, 2026 to Mar 12, 2026
- Pension RAUM · $3.8M to $6.9MJan 5, 2026 to Mar 12, 2026
- RAUM · $189M to $197MJan 5, 2026 to Mar 12, 2026
- Advisory employees · 4 to 3Sep 29, 2025 to Jan 5, 2026
- Advisory employees · 5 to 4Mar 24, 2025 to Sep 29, 2025
- Advisory activities · 4 to 5Mar 24, 2025 to Sep 29, 2025
- BD registered reps · 4 to 3Mar 24, 2025 to Sep 29, 2025
- Commission compensation · false to trueMar 24, 2025 to Sep 29, 2025
- Employees · 9 to 8Mar 24, 2025 to Sep 29, 2025
- State-registered IARs · 5 to 3Mar 24, 2025 to Sep 29, 2025
- Accounts · 220 to 468Dec 26, 2024 to Mar 24, 2025
- Advisory activities · 3 to 4Dec 26, 2024 to Mar 24, 2025
- Corporate clients · 23 to 30Dec 26, 2024 to Mar 24, 2025
- HNW clients · 86 to 80Dec 26, 2024 to Mar 24, 2025
- Individual clients · 49 to 66Dec 26, 2024 to Mar 24, 2025
- Pension plan clients · 3 to 4Dec 26, 2024 to Mar 24, 2025
- Assets in custody · $7.1M to $2.9MDec 26, 2024 to Mar 24, 2025
- Employees · 10 to 9Dec 26, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 26-50Dec 26, 2024 to Mar 24, 2025
- Other offices · 1 to 0Dec 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $113M to $131MDec 26, 2024 to Mar 24, 2025
- HNW RAUM · $43.3M to $89.8MDec 26, 2024 to Mar 24, 2025
- Individual RAUM · $5.4M to $30.2MDec 26, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $0 to $58.2MDec 26, 2024 to Mar 24, 2025
- Pension RAUM · $3.7M to $3.8MDec 26, 2024 to Mar 24, 2025
- RAUM · $113M to $189MDec 26, 2024 to Mar 24, 2025
- Accounts · 180 to 220Jan 4, 2024 to Mar 20, 2024
Signals
5 dated events
- 2 advisors left Osaic Wealth, Inc. (Moorestown, NJ) for Copper Beech Financial Group, LLC on the same dayAug 4, 2026 · Team lift-out · derived
- Christopher Ruffino left Copper Beech Financial Group, Llc for Raymond James Financial Services Advisors, Inc (registered 2024-08-12)Oct 15, 2025 · Advisor changed firm · fact
- Donald Robert Burnaford left Copper Beech Financial Group, Llc for Osaic Wealth, Inc. (registered 2024-10-11)Mar 20, 2025 · Advisor changed firm · fact
- Raddin Peter Moison (Owner) appeared on Schedule A of Copper Beech Financial Group, LlcFeb 24, 2023 · Control person joined · fact
- Copper Beech Financial Group, Llc filed its initial SEC registration (Form ADV)May 6, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Copper Beech Financial Group, LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@copperbeechfg.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 856-988-8300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 856-988-8319reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/copper-beech-financial-group-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- copperbeechfg.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 856-988-8300reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- copperbeechfg.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
- $65.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026