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

B.B. Graham & Company, Inc.

Independent wealth managerOrange, CaliforniaCRD 41533SEC 801-106968websiteIAPD
Latest filing Mar 23, 2026
First filing on the tape Nov 17, 2015 · 34 filings
SEC status approved since Dec 3, 2015
RAUM
$322M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
100%
$322M individuals and HNW
Advisors
30
registered through the firm on IAPD
RAUM per advisor
$10.7M
derived; firm RAUM over IAPD count
Employees
32
32 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$322M as of Mar 23, 2026
Mar 24, 2016$25.7M then
HNW client RAUM$242M as of Mar 23, 2026
Mar 21, 2018$52.0M then
State-registered IARs (5.B.3)28 as of Mar 23, 2026
Mar 24, 201621 then
Employees (5.A)32 as of Mar 23, 2026
Mar 24, 201627 then
Private funds: no history
RAUM +64% over the last fiscal year+14% a year over threeIARs 24 to 28offices 9 to 10
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$10.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$753,280derivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
2.7derived11 offices incl. principal (1.F.5)
RAUM growth, one year
+64%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+41%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$242M75%
  • Individuals$79.2M25%
Individual clients
323reported
HNW clients
104reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
427reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=32.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Jonathan Edward RickLincolnshire, IlDec 17, 200726 y2
Thomas Patrick EveslageOrange, Ca Jul 31, 200836 y3
Douglas Brad CallenCertified Financial Planner, Chartered Financial ConsultantOrange, CaOct 29, 201029 y4
John Wayne BettfreundOrange, CaAug 26, 201422 y3
Matt Dale MaberryOrange, Ca Nov 30, 201537 y1
Robert E NorthOrange, Ca Apr 8, 201619 y3
Leonard Dale WyssOrange, CaSep 8, 201638 y2
William Dean ByrdCertified Financial PlannerTampa, Fl Sep 18, 201938 y3
Jeffre Scott ReiningerOrange, Ca Sep 25, 201930 y5
John Walter MarshallOrange, Ca Dec 2, 201941 y1
Damien Joseph MoralesOrange, Ca Feb 3, 202022 y1
Eduardo LariosOrange, CaSep 8, 202327 y5
Steven Gustaf CarlsonFalmouth, MaApr 16, 202434 y3
Steven Vincent AndersonOrange, Ca May 23, 202430 y3
William Donald RamiresLake Forest, Ca Jun 11, 202436 y3
Scott Edward EverhartOrange, Ca Nov 5, 202439 y4
David Alan RamosOrange, Ca Dec 3, 202428 y4
Sharon Kaye AdamsWarrenville, Il Mar 4, 202540 y3
Irwin Bruce ScheinesonChartered Financial ConsultantOrange, Ca Apr 16, 202542 y1
John Byron HamptonOrange, Ca Jul 2, 202533 y2
Leslie ApseloffRoswell, Ga Aug 29, 202513 y0
John Francis ConwayOrange, Ca Sep 4, 202538 y1
Gordana SchifanelliOrange, Ca Oct 28, 202526 y5
Robert Bryan FitzpatrickDunmore, Pa Oct 31, 202545 y2
Jaimie ChanOrange, CaNov 25, 202511 y0
Sheri A StrainOrange, CaDec 18, 202531 y4
Marie Elizabeth GodinezOrange, CaDec 19, 202527 y1
Frank Howard ZitoOrange, CaAug 20, 202630 y6
Advisor movement
1 left, 5 joined in 12 months
net +4 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 3.3% of current headcount3 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • John Wayne Jr Bettfreund · Chief Compliance Officercontrol
      since 08/2014 · owns less than 5%
    • Douglas Brad Callen · Senior Vice Presidentcontrol
      since 10/2010 · owns less than 5%
    • Marie Elizabeth Godinez · Chief Operations Officercontrol
      since 01/2014 · owns less than 5%
    • Bruce Edwin Graham · President, Chief Financial Officer, Finopcontrol
      since 07/1996 · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Orange, Ca · principal2761
    Dunmore, Pa210
    Missoula, Mt000
    Offices
    Schedule D 1.F, the 25 largest
    • Alton, IL2 employees
    • Oklahoma City, OK1 employees
    • , 1 employees
    • Springfield, OR1 employees
    • , 1 employees
    • Lincolnshire, IL1 employees
    • Austin, TX1 employees
    • Westfield, IN1 employees
    ADV anomalies
    2 against comparable advisers; where to look, not conclusions
    • discretionary share shiftChange between filings · filing Mar 23, 2026
      discretionary share of RAUM moved from 25.0% to 55.0% between the annual amendments of 2025-04-16 and 2026-03-23
      peers: independent wealth managers, $100M to $500M (5,676)
    • RAUM up 50 %Change between filings · filing Mar 23, 2026
      RAUM (Item 5.F) moved from $196,073,458 to $321,650,372 (+64.0%) between the annual amendments of 2025-04-16 and 2026-03-23; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 303 to 427
      Nov 13, 2025 to Mar 23, 2026
    • Advisory employees · 28 to 32
      Nov 13, 2025 to Mar 23, 2026
    • BD registered reps · 28 to 32
      Nov 13, 2025 to Mar 23, 2026
    • HNW clients · 65 to 104
      Nov 13, 2025 to Mar 23, 2026
    • Individual clients · 238 to 323
      Nov 13, 2025 to Mar 23, 2026
    • Employees · 28 to 32
      Nov 13, 2025 to Mar 23, 2026
    • State-registered IARs · 24 to 28
      Nov 13, 2025 to Mar 23, 2026
    • Other offices · 9 to 10
      Nov 13, 2025 to Mar 23, 2026
    • Discretionary RAUM · $49.1M to $177M
      Nov 13, 2025 to Mar 23, 2026
    • HNW RAUM · $142M to $242M
      Nov 13, 2025 to Mar 23, 2026
    • Individual RAUM · $53.7M to $79.2M
      Nov 13, 2025 to Mar 23, 2026
    • Non-discretionary RAUM · $147M to $145M
      Nov 13, 2025 to Mar 23, 2026
    • RAUM · $196M to $322M
      Nov 13, 2025 to Mar 23, 2026
    • Financial planning clients · 0 to 0
      Apr 16, 2025 to Nov 13, 2025
    • Accounts · 311 to 303
      Dec 18, 2024 to Apr 16, 2025
    • Advisory employees · 27 to 28
      Dec 18, 2024 to Apr 16, 2025
    • BD registered reps · 27 to 28
      Dec 18, 2024 to Apr 16, 2025
    • HNW clients · 64 to 65
      Dec 18, 2024 to Apr 16, 2025
    • Individual clients · 247 to 238
      Dec 18, 2024 to Apr 16, 2025
    • Employees · 27 to 28
      Dec 18, 2024 to Apr 16, 2025
    • State-registered IARs · 23 to 24
      Dec 18, 2024 to Apr 16, 2025
    • Other offices · 8 to 9
      Dec 18, 2024 to Apr 16, 2025
    • Discretionary RAUM · $37.2M to $49.1M
      Dec 18, 2024 to Apr 16, 2025
    • HNW RAUM · $114M to $142M
      Dec 18, 2024 to Apr 16, 2025
    • Individual RAUM · $58.9M to $53.7M
      Dec 18, 2024 to Apr 16, 2025
    • Non-discretionary RAUM · $135M to $147M
      Dec 18, 2024 to Apr 16, 2025
    • RAUM · $173M to $196M
      Dec 18, 2024 to Apr 16, 2025
    • Other offices · 10 to 8
      Oct 15, 2024 to Nov 21, 2024
    • Accounts · 631 to 311
      Aug 7, 2023 to Mar 20, 2024
    • Advisory employees · 29 to 27
      Aug 7, 2023 to Mar 20, 2024
    • BD registered reps · 29 to 27
      Aug 7, 2023 to Mar 20, 2024
    • HNW clients · 68 to 64
      Aug 7, 2023 to Mar 20, 2024
    • Individual clients · 563 to 247
      Aug 7, 2023 to Mar 20, 2024
    • Employees · 29 to 27
      Aug 7, 2023 to Mar 20, 2024
    • Insurance-licensed employees · 1 to 2
      Aug 7, 2023 to Mar 20, 2024
    • State-registered IARs · 27 to 23
      Aug 7, 2023 to Mar 20, 2024
    • Other offices · 13 to 10
      Aug 7, 2023 to Mar 20, 2024
    • Discretionary RAUM · $38.9M to $37.2M
      Aug 7, 2023 to Mar 20, 2024
    • HNW RAUM · $106M to $114M
      Aug 7, 2023 to Mar 20, 2024
    • Individual RAUM · $114M to $58.9M
      Aug 7, 2023 to Mar 20, 2024
    Signals
    12 dated events
    • B.B. Graham & Company, Inc. reported RAUM $321.7M, up 64% from $196.1M (2025-11-13 to 2026-03-23)
      Mar 23, 2026 · RAUM change · derived
    • Anil Kumar Madhyanam left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2026-01-14)
      Jan 14, 2026 · Advisor changed firm · fact
    • Larry James Miranda left B.B. Graham & Company, Inc. for Palo Seco Wealth Management (registered 2025-04-22)
      Apr 21, 2025 · Advisor changed firm · fact
    • Christopher John Coghlan left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2023-11-27)
      Nov 27, 2023 · Advisor changed firm · fact
    • B.B. Graham & Company, Inc. reported RAUM $219.7M, down 32% from $322.0M (2022-07-06 to 2023-03-30)
      Mar 30, 2023 · RAUM change · derived
    • George Nicolas Gopiao left B.B. Graham & Company, Inc. for Miramontes Capital, Llc (registered 2024-01-03)
      Feb 17, 2023 · Advisor changed firm · fact
    • 2 advisors left B.B. Graham & Company, Inc. (Orange, CA) for LPL Financial LLC on the same day
      Dec 16, 2022 · Team lift-out · derived
    • Steven Richard Elder left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2022-12-07)
      Dec 16, 2022 · Advisor changed firm · fact
    • Suzan Elizabeth Elder left B.B. Graham & Company, Inc. for Lpl Financial Llc (registered 2022-12-07)
      Dec 16, 2022 · Advisor changed firm · fact
    • B.B. Graham & Company, Inc. reported RAUM $322.0M, up 53% from $210.9M (2021-10-11 to 2022-03-22)
      Mar 22, 2022 · RAUM change · derived
    • B.B. Graham & Company, Inc. reported 13 offices beyond its principal office, up from 8 (2019-03-21 to 2020-03-13)
      Mar 13, 2020 · Office count change · derived
    • B.B. Graham & Company, Inc. filed its initial SEC registration (Form ADV)
      Nov 17, 2015 · 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
    714-628-5200reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    BBGRAHAM.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (714) 628-5200reportedpublic record, Form ADV, Mar 23, 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
    $10.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026