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S••••• W••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

S••••• W••••• P•••••••• L••

CRD 134620

ORLANDO, FL

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Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2012 to Mar 29, 2016
18 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $378M••• Locked
Discretionary RAUM: $338M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• P••••••••• L••	Owner	E	yes	12/2015	Mar 18, 2016	Mar 29, 2016
I•••••••• A••••••• L••	HOLDING COMPANY	E	yes	12/2015	Oct 1, 2012	Mar 29, 2016

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
J•••SONVILLE BEACH	FL	United States	n/a	no
Naples	FL	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 18, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$378M	$349M	8.3%	$263M	12.9%	26	15	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• W••••• P•••••••• L••	12	Aug 19, 2016	Jun 16, 2020	ORLANDO, FL	Firm absorbed	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•• A••••••• N••••••• L••	2	Mar 26, 2016	Feb 22, 2016	PLANTATION, FL	Team lift out	Other	22.2%
S•• A••••••• N••••••• L••	4	Mar 26, 2016	Jan 5, 2016

Relationships

Owns (2)

← K•••••• W••••••• P•••••• M••••••OwnerGENERAL COUNSEL, ownership code NA, individual
Oct 1, 2012 to presentfactForm ADV
← C••••••• D••••• P•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 18, 2016 to presentfactForm ADV

Controls (5)

← W••••••• C•••• A••••OwnerMEMBER, ownership code C, individual
Oct 1, 2012 to presentfactForm ADV
← P••••• J••••• P••••••OwnerMEMBER, ownership code C, individual

Dated events

Occurred
Mar 18, 2016
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 21, 2012
Last observed: Mar 29, 2016 127 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.