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•••••• F••••••••
Legal name B•••••• F••••••••• L••
Latest filing Apr 10, 2026
First filing on the tape Oct 25, 2024 · 11 filings
SEC status approved since Nov 26, 2024
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$92.6M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$20.9M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$125M as of Apr 10, 2026
Jan 10, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Apr 10, 2026
Jan 10, 20256 then
Employees (5.A)7 as of Apr 10, 2026
Jan 10, 20257 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Apr 10, 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
- RAUM per advisor
- $25.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $286,542derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, publicationsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$92.6M74%
- Investment companies$23.9M19%
- Pension and profit-sharing plans$8.5M6.8%
- Corporations and businesses$240,0000.2%
- Individual clients
- 235reported
- HNW clients
- n/areported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 437reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.74 fund_share=0.19 institutional_share=0.07 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 |
|---|---|---|---|---|
| L••••••• A•• R•••••Chartered Financial Analyst | Raleigh, Nc | Jan 14, 2025 | 32 y | 1 |
| I•• J•••• G•••• | I•••••••••, Fl | Jan 14, 2025 | 12 y | 1 |
| J•••••• S•••• A•••••••Certified Financial Planner | I•••••••••, Fl | Jan 14, 2025 | 22 y | 5 |
| J••• L•••• R•••••• | New Orleans, La | Jan 14, 2025 | 15 y | 1 |
| C••• M•••••• S•••• | I•••••••••, Fl | Feb 11, 2025 | 18 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
- C••• M•••••• S•••• from I••••••••• I••••••••• M••••••••• L••Feb 11, 2025 · Other
- J••• L•••• R•••••• from I••••••••• I••••••••• M••••••••• L••Jan 14, 2025 · Other
- I•• J•••• G•••• from I••••••••• I••••••••• M••••••••• L••Jan 14, 2025 · Other
- K••• W•••••• K••••• from T••••••• G••••••• I••••••••• M•••••••••Jan 14, 2025 · Other
- J•••••• S•••• A••••••• from I••••••••• I••••••••• M••••••••• L••Jan 14, 2025 · Other
- L••••••• A•• R••••• from I••••••••• I••••••••• M••••••••• L••Jan 14, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from I••••••••• I••••••••• M••••••••• L••Mar 31, 2025 · I•••••••••, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J••••••• S•••• · Ccocontrolsince 05/2024 · owns less than 5%
- S••••• C•••• M•••••• · Ceocontrolsince 05/2024 · owns 75% or more
Related persons
Schedule D 7.A
- I••••••••• I••••••••• M••••••••• L••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| I•••••••••, Fl | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 433 to 437Feb 11, 2026 to Apr 10, 2026
- Corporate clients · unset to 2.0Feb 11, 2026 to Apr 10, 2026
- Pension plan clients · unset to 4.0Feb 11, 2026 to Apr 10, 2026
- Discretionary RAUM · $145M to $125MFeb 11, 2026 to Apr 10, 2026
- Individual RAUM · $116M to $92.6MFeb 11, 2026 to Apr 10, 2026
- Pension RAUM · unset to 8481207.0Feb 11, 2026 to Apr 10, 2026
- RAUM · $145M to $125MFeb 11, 2026 to Apr 10, 2026
- Accounts · 0 to 433Sep 18, 2025 to Feb 11, 2026
- Individual clients · unset to 235.0Sep 18, 2025 to Feb 11, 2026
- Discretionary RAUM · $0 to $145MSep 18, 2025 to Feb 11, 2026
- Individual RAUM · unset to 116497842.0Sep 18, 2025 to Feb 11, 2026
- RAUM · $0 to $145MSep 18, 2025 to Feb 11, 2026
- Advisory activities · 5 to 6Jan 10, 2025 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Jan 10, 2025 to Mar 5, 2025
- HQ city · unset to Dec 5, 2024 to Jan 10, 2025
- HQ state · unset to Dec 5, 2024 to Jan 10, 2025
- Related adviser · false to trueOct 30, 2024 to Oct 30, 2024
Signals
3 dated events
- I•• J•••• G•••• no longer holds an investment adviser registration (last listed at B•••••• F•••••••• on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- I••••••••• I••••••••• M••••••••• L••'s advisors moved to B•••••• F•••••••• (I•••••••••, FL): 4 of 5 registered, on the same dayMar 31, 2025 · Firm absorbed (people side) · derived
- B•••••• F•••••••• filed its initial SEC registration (Form ADV)Oct 25, 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
- Business phone
- 786-706-6651reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- lastbastion.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (786) 706-6651reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- lastbastion.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- lastbastion.com/about/our-peoplereportedpublished by the firm, firm site, Sep 16, 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
- $20.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026