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••••• P•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Feb 21, 2023 · 10 filings
SEC status approved since Mar 23, 2023
RAUM
$1.4B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
94%
$1.3B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.4B as of Mar 2, 2026
Jan 16, 2024$1.0B then
HNW client RAUM$1.2B as of Mar 2, 2026
Jan 16, 2024$979M then
State-registered IARs (5.B.3)5 as of Mar 2, 2026
Jan 16, 20245 then
Employees (5.A)6 as of Mar 2, 2026
Jan 16, 20246 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $270MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $948,696derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.2BreportedItem 5.I
- Custody
- $761M, 460 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B92%
- Corporations and businesses$64.3M4.8%
- Individuals$23.1M1.7%
- Charitable organizations$16.0M1.2%
- Individual clients
- 91reported
- HNW clients
- 312reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,425reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $761M for 460 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• O• B••••• | Louisville, Ky | Apr 21, 2023 | 18 y | 1 |
| A•• S• J••••Certified Financial Planner | Louisville, Ky | Apr 21, 2023 | 19 y | 1 |
| C••••••••• C•••••• M••••••• | Louisville, Ky | Apr 21, 2023 | 19 y | 1 |
| C•••••••• B••• | Louisville, Ky | Apr 21, 2023 | 32 y | 1 |
| B•••• O•••• B••••• | Louisville, Ky | Apr 28, 2023 | 45 y | 1 |
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
- B•••• O•••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 28, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• B••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 21, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- F•••• O• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 21, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•• S• J•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 21, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••••••• C•••••• M••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 21, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 25, 2023 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••• O•••• · Managing Partnercontrolsince 04/2023 · owns 25% to 50%
- B•••••• F••••• O• · Investment Managercontrolsince 04/2023 · owns 10% to 25%
- B•••• C•••••••• · Client Services Executivecontrolsince 04/2023 · owns 5% to 10%
- D••••• K•••••• M•••• · Partnercontrolsince 04/2025 · owns less than 5%
- J••••• A••• S• · Chief Compliance Officer And Wealth Plannercontrolsince 04/2023 · owns 10% to 25%
- M•••••••• C••••••••• C• · Portfolio Managercontrolsince 04/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 2, 2026D••••• K•••••• M•••• (PARTNER) appeared on Schedule A between the filings of 2023-04-21 and 2026-03-02peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,404 to 1,425May 15, 2025 to Mar 2, 2026
- Advisory employees · 5 to 6May 15, 2025 to Mar 2, 2026
- Charity clients · 6 to 7May 15, 2025 to Mar 2, 2026
- Corporate clients · 7 to 18May 15, 2025 to Mar 2, 2026
- HNW clients · 310 to 312May 15, 2025 to Mar 2, 2026
- Individual clients · 74 to 91May 15, 2025 to Mar 2, 2026
- Assets in custody · $660M to $761MMay 15, 2025 to Mar 2, 2026
- Discretionary RAUM · $1.1B to $1.2BMay 15, 2025 to Mar 2, 2026
- HNW RAUM · $1.2B to $1.2BMay 15, 2025 to Mar 2, 2026
- Individual RAUM · $18.3M to $23.1MMay 15, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $152M to $146MMay 15, 2025 to Mar 2, 2026
- RAUM · $1.2B to $1.4BMay 15, 2025 to Mar 2, 2026
- Assets in custody · unset to 660000000.0Feb 7, 2025 to May 15, 2025
- Custody of client assets · false to trueFeb 7, 2025 to May 15, 2025
- Financial planning clients · 251-500 to 251-500Feb 7, 2025 to May 15, 2025
- Accounts · 1,238 to 1,404Dec 17, 2024 to Feb 7, 2025
- HNW clients · 281 to 310Dec 17, 2024 to Feb 7, 2025
- Individual clients · 63 to 74Dec 17, 2024 to Feb 7, 2025
- Financial planning clients · 101-250 to 251-500Dec 17, 2024 to Feb 7, 2025
- Discretionary RAUM · $850M to $1.1BDec 17, 2024 to Feb 7, 2025
- HNW RAUM · $979M to $1.2BDec 17, 2024 to Feb 7, 2025
- Individual RAUM · $13.7M to $18.3MDec 17, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $162M to $152MDec 17, 2024 to Feb 7, 2025
- RAUM · $1.0B to $1.2BDec 17, 2024 to Feb 7, 2025
- Accounts · 1,075 to 1,238Jul 21, 2023 to Jan 16, 2024
- Advisory activities · 1 to 2Jul 21, 2023 to Jan 16, 2024
- Corporate clients · 12 to 7Jul 21, 2023 to Jan 16, 2024
- HNW clients · 167 to 281Jul 21, 2023 to Jan 16, 2024
- Individual clients · 71 to 63Jul 21, 2023 to Jan 16, 2024
- Employees · 5 to 6Jul 21, 2023 to Jan 16, 2024
- Financial planning clients · 0 to 101-250Jul 21, 2023 to Jan 16, 2024
- Discretionary RAUM · $772M to $850MJul 21, 2023 to Jan 16, 2024
- HNW RAUM · $828M to $979MJul 21, 2023 to Jan 16, 2024
- Individual RAUM · $32.8M to $13.7MJul 21, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $118M to $162MJul 21, 2023 to Jan 16, 2024
- RAUM · $890M to $1.0BJul 21, 2023 to Jan 16, 2024
- Wrap assets (sponsor) · $772M to $0Jul 21, 2023 to Jan 16, 2024
- Accounts · 0 to 1,075Apr 21, 2023 to Jul 21, 2023
- Advisory employees · 1 to 5Apr 21, 2023 to Jul 21, 2023
- Charity clients · unset to 6.0Apr 21, 2023 to Jul 21, 2023
Signals
8 dated events
- 5 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Louisville, KY) for B••••• W••••• P•••••••• L•• on the same dayApr 25, 2023 · Team lift-out · derived
- J••••• M•••••• S•••••••• (Cco) no longer on Schedule A of B••••• W••••• P•••••••• L•• (listed 2023-02-21, absent 2023-04-21)Apr 21, 2023 · Control person left · inference
- Owens Barry B••••• (Senior Founding Partner And Chief Compliance Officer) appeared on Schedule A of B••••• W••••• P•••••••• L••Apr 21, 2023 · Control person joined · fact
- O Frank B••••• (Investment Manager) appeared on Schedule A of B••••• W••••• P•••••••• L••Apr 21, 2023 · Control person joined · fact
- S Amy Jones (Wealth Planner) appeared on Schedule A of B••••• W••••• P•••••••• L••Apr 21, 2023 · Control person joined · fact
- C Christopher Mcintosh (Portfolio Manager) appeared on Schedule A of B••••• W••••• P•••••••• L••Apr 21, 2023 · Control person joined · fact
- C•••••••• B••• (Client Services Executive) appeared on Schedule A of B••••• W••••• P•••••••• L••Apr 21, 2023 · Control person joined · fact
- B••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Feb 21, 2023 · 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
- Business email
- t•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c•••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k•••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-308-4270reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-308-4271reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (502) 308-4270reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- b•••••••••.comreportedpublished 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
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026