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••••• S••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Jun 7, 2024 · 7 filings
SEC status approved since Jul 5, 2024
RAUM
$145M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
1
1 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$145M as of Mar 25, 2026
Mar 25, 2025$150M then
HNW client RAUM$90.0M as of Mar 25, 2026
Mar 25, 2025$95.0M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 25, 20251 then
Employees (5.A)1 as of Mar 25, 2026
Mar 25, 20251 then
Private funds: no history
RAUM -3.3% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 230derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $263,636derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $145MreportedItem 5.I
- Custody
- $48.0M, 31 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$90.0M62%
- Individuals$55.0M38%
- Individual clients
- 156reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 550reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $48.0M for 31 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P••• C••••••••Certified Financial Planner | Dallas, Tx | Mar 15, 2023 | 20 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• P••• C•••••••• from A•••••• A••••••• S•••••••Mar 15, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••• P••• · Ceo & Ccocontrolsince 03/2021 · owns less than 5%
- I•••••• E•••• P• · General Partnercontrolsince 08/2015 · owns 25% to 50% of B••• F•••••• I•••••• L••
- S••••••• D••••• E• · General Partnercontrolsince 08/2015 · owns 25% to 50% of B••• F•••••• I•••••• L••
- V••••• S•••••• G• · General Partnercontrolsince 01/2018 · owns 25% to 50% of B••• F•••••• I•••••• L••
Entity owners
- B••• F•••••• I•••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••• F•••••• I•••••• L••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 631 to 550Sep 26, 2025 to Mar 25, 2026
- Corporate clients · 9 to 0Sep 26, 2025 to Mar 25, 2026
- HNW clients · 65 to 74Sep 26, 2025 to Mar 25, 2026
- Individual clients · 140 to 156Sep 26, 2025 to Mar 25, 2026
- Assets in custody · $42.0M to $48.0MSep 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $145M to $142MSep 26, 2025 to Mar 25, 2026
- HNW RAUM · $69.0M to $90.0MSep 26, 2025 to Mar 25, 2026
- Individual RAUM · $53.0M to $55.0MSep 26, 2025 to Mar 25, 2026
- RAUM · $148M to $145MSep 26, 2025 to Mar 25, 2026
- Assets in custody · unset to 42000000.0Jul 7, 2025 to Sep 26, 2025
- Custody of client assets · false to trueJul 7, 2025 to Sep 26, 2025
- Accounts · 567 to 631Mar 25, 2025 to Jul 7, 2025
- Corporate clients · unset to 9.0Mar 25, 2025 to Jul 7, 2025
- HNW clients · 75 to 65Mar 25, 2025 to Jul 7, 2025
- Individual clients · 155 to 140Mar 25, 2025 to Jul 7, 2025
- Financial planning clients · unset to Mar 25, 2025 to Jul 7, 2025
- Discretionary RAUM · $148M to $145MMar 25, 2025 to Jul 7, 2025
- HNW RAUM · $95.0M to $69.0MMar 25, 2025 to Jul 7, 2025
- Individual RAUM · $55.0M to $53.0MMar 25, 2025 to Jul 7, 2025
- Non-discretionary RAUM · $2.0M to $3.0MMar 25, 2025 to Jul 7, 2025
- RAUM · $150M to $148MMar 25, 2025 to Jul 7, 2025
- Accounts · 550 to 567Aug 5, 2024 to Mar 25, 2025
- BD registered reps · 1 to 0Aug 5, 2024 to Mar 25, 2025
- Individual clients · 150 to 155Aug 5, 2024 to Mar 25, 2025
- Discretionary RAUM · $123M to $148MAug 5, 2024 to Mar 25, 2025
- HNW RAUM · $75.0M to $95.0MAug 5, 2024 to Mar 25, 2025
- Individual RAUM · $50.0M to $55.0MAug 5, 2024 to Mar 25, 2025
- RAUM · $125M to $150MAug 5, 2024 to Mar 25, 2025
Signals
1 dated events
- B•• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 7, 2024 · 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
- Principal office phone
- 469-646-0429reportedpublic record, Form ADV, Mar 25, 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026