SourcingSourcing

BPS WEALTH ADVISORS, INC.

C39
CRD 106249·SEC 801-37961·CANFIELD, OH
AUM
$1.08B
$1B+
Est. Revenue
$10.8M
@ 1% on AUM
Est. EBITDA
$3.2M
@ 30% margin
Est. Deal Value
$26.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
BPS WEALTH ADVISORS, INC.
CRD
106249
SEC file #
801-37961
EIN
—
DBA names
—

Economics

AUM
$1.08B
AUM band
$1B+
AUM trajectory
'20'26
$210.3M → $1.08B▲ +415%
Client mix
Individuals Other395
Pension Profit Sharing Plans184
Individuals High Net Worth148
Corporations10
Charitable Organizations8

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
5 advisors → 5 advisors▬ 0%
Primary office
CANFIELD OH
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUM

Filings

Latest ADV filing
04/13/2026
ADV-W filed at
—
Website
bpswealthgroup.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RAFOTH, JAMES
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
RAFOTH, JAMES
SMALLWOOD, ROBERT, L
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
BPSWEALTHGROUP.COM
Rdap Domain Creation Date
2025-09-18T16:24:45Z
Rdap Firm Age Years
1
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3229
Soi Zip Pct 200k Plus
0.1164
Soi Zip Returns 200k Plus
1,410
Soi Zip Total AGI
1,467,241
Fdic Zip Total Deposits
21,621,689,000
Fdic Zip Branch Count
325
Fdic Zip Top Banks
The Farmers National Bank of Canfield
The Huntington National Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
7
Bc Firm Active IA Count
7
Bc Firm IAR Count
7
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
National City Bank, NortheastCanfield Township, OH
National City Bank, NortheastCanfield Township, OH
Fdic Zip HHI
2289.86
Fdic Zip Top Bank Share Pct
44.06
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-09-18T16:24:45Z
Rdap Domain Last Changed
2025-09-18T16:24:46Z
Rdap Nameservers
Ns51.domaincontrol.comNs52.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI32,741
Returns2,720
Stub 2
AGI81,243
Returns2,190
Stub 3
AGI118,331
Returns1,900
Soi Zip Total Business Income
61,175
Soi Zip Total Cap Gains
114,236
Soi Zip Total Dividends
43,254
Soi Zip Total Returns
12,110
Top Owner CRD
2243194
Trust Company Affiliate
No

People (7)

7
RAFOTH, JAMES
IAR · Direct Owner · 37.5%
2243194
SMALLWOOD, ROBERT, L
IAR · Direct Owner · 37.5%
4838140
WALKER, BRADLEY, ALAN
IAR · Direct Owner · 37.5%
3146727
Mark Daniel Hadley
IAR
6831309
Mark Jason Smallwood
IAR
5246480
ERIC MICHAEL CLAYTON
IAR
6401141
WILLIAM BRIAN BERLIN
IAR
3129851