DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

C•••••••• A••••••• C•••

CRD 120990

ALTAMONTE SPRINGS, FL

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 8
On other graphs: 0
Observed: Mar 23, 2012 to Mar 31, 2026
53 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=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=9.0
Regulatory AUM: $3.0B••• Locked
Discretionary RAUM: $3.0B
Private client RAUM: $2.5Bderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 17
RAUM per advisor: $179Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• F•••• B•••	Certified Financial Planner	ALTAMONTE SPRINGS, FL	34	42	n/a	no
N•••• I•••• H••••	Certified Financial Planner	ALTAMONTE SPRINGS, FL	33	32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• J•••••• F••••	Ceo	E	yes	03/1994	Mar 31, 2026	Mar 31, 2026
C•••• S••••• M•••••	PRESIDENT & CCO	Na	yes	01/2022	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• I•••••••• C•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Gainesville	FL	United States	2	yes
Winderemere	FL	United States	2	no
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	5.9%	0	0	0	0	2

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	$3.0B	$2.7B	13.9%	$1.9B	16.6%	39	36	4	6

Relationships

Controls (2)

← B•••• J•••••• F••••OwnerCEO, ownership code E, individual
Mar 31, 2026 to presentfactForm ADV
← C•••• S••••• M•••••OwnerPRESIDENT & CCO, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV

Registered with (20)

← G•••• M••••••• K••••••Advisorregistration: current employment
Jul 28, 2025 to presentfactForm ADV
← D••••• L•••••

Dated events

Occurred
Apr 9, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 23, 2012
Last observed: Mar 31, 2026 5 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.

All 17 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• H••••• T•••••••	Certified Financial Planner	ALTAMONTE SPRINGS, FL	7	26	5	no
T••• J•••••• T••••	Certified Financial Planner	Arnold,, MD \| ALTAMONTE SPRINGS, FL	6	29	1	no
D•••••• W••• S••••	Certified Financial Planner\|Chartered Financial Consultant	Altamonte Springs, FL	5	11	1	no
R••••• C•••••• C••••	Certified Financial Planner	Altamonte Springs, FL	5	27	6	yes
J•••••• L•••• H•••	n/a	Altamonte Springs, FL	5	12	1	yes
D••••• L•••••	Certified Financial Planner	ALTAMONTE SPRINGS, FL	2	12	n/a	no
G•••• M••••••• K••••••	Certified Financial Planner	ALTAMONTE SPRINGS, FL	1	11	n/a	no

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 9, 2016	$1.0B	$753M	16	16	n/a	n/a	n/a
2014	Mar 11, 2015	$888M	$696M	16	16	n/a	n/a	n/a
2013	Feb 24, 2014	$756M	$572M	17	17	n/a	n/a	n/a
2012	Mar 21, 2013	$569M	$421M	15	15	n/a	n/a	n/a
2011	Mar 23, 2012	$502M	$376M	n/a	n/a	n/a	n/a	n/a