DFX Intelligence

C••• W••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••• W••••• M••••••••• I•••

CRD 162870

JUPITER, FL

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Search this name across graphsid dfx:ria:0ef75840-bc81-0049-c864-7f13e6e5684f

Data as of Mar 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Jul 13, 2018 to Mar 2, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $405M••• Locked
Discretionary RAUM: $405M
Private client RAUM: $390Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $135Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••• M• S••••••	Certified Financial Planner\|Chartered Financial Analyst	JUPITER, FL	14	23	2	no
J•••••••• A•••• G••••••••	Certified Financial Planner	JUPITER, FL	14	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• J••••••••• A••••	VICE PRESIDENT & SHAREHOLDER	C	yes	01/2022	Mar 9, 2022	Feb 26, 2024
S••••••• T•••• M•	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	06/2012	Jul 13, 2018	Feb 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• • A••••••••• P•	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	33.3%	0	1	0	1	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$405M	$345M	17.1%	$247M	17.9%	4	4	0	0

Relationships

Registered with (6)

← J••••••• J••••• F•••••••••Advisorregistration: current employment
Dec 4, 2022 to presentfactForm ADV
← J•••••••• A•••• G••••••••Advisorregistration: current employment
Jul 23, 2012 to presentfactForm ADV
← T••• M• S••••••Advisorregistration: current employment
Jul 17, 2012 to presentfactForm ADV
← D•••••• J•••• M•••••••

Dated events

Occurred
Aug 11, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 30, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 8, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 9, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ef75840-bc81-0049-c864-7f13e6e5684f
First observed: Jul 13, 2018
Last observed: Mar 2, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.