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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD 112970

ST. PETERSBURG, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4c561db7-e5bc-9861-2589-13b1aa46a6d4

Data as of Mar 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Jan 10, 2017 to Mar 22, 2026
21 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $359MItem 5.F on the latest filing (2026-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $359M
Private client RAUM: $359MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $44.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 7
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 945
Individual clients: 426
Custody, client assets: $4.2M
SEC number: 801-108964
CRD: 112970
Filings on the tape: 21
First filed: Jan 10, 2017
Latest filed: Mar 22, 2026
Organised: Corporation, FL
Website: carrteam.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JOSHUA D POWELL	n/a	ST. PETERSBURG, FL	15	26	2	no
DAVID WILLIAM NOVAK	n/a	ST. PETERSBURG, FL	12	26	2	no
ERIC QUINTEN GIESLER	n/a	ST. PETERSBURG, FL \| PINETOP, AZ	6	23	2	no
TERRY RAY CARR	n/a	Largo, FL \| ST. PETERSBURG, FL	6	34	2	no
SAMUEL DOUGLAS CORNELL	n/a	Tucson, AZ	4	38	1	no
ALAN KEITH GOLDFARB	Certified Financial Planner	ST. PETERSBURG, FL	4	46	7	no
GREGG STEPHEN DUCATTE	n/a	Largo, FL \| ST. PETERSBURG, FL	1	33	3	no
BELINDA JEAN SHEFFIELD	n/a	ST. PETERSBURG, FL	0	43	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
NOVAK, DAVID, WILLIAM	PRINCIPAL, CHIEF COMPLIANCE OFFICER	D	yes	09/2013	Jan 10, 2017	Mar 28, 2024
POWELL, JOSHUA, D	Principal	D	yes	09/2013	Jan 10, 2017	Mar 28, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Tucson	Az	United States	1	no
Boulder	Co	United States	1	no
Largo	FL	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 22, 2026	$359M	$359M	7	7	4	n/a	n/a
2024	Mar 28, 2025	$334M	$334M	8	8	4	n/a	n/a
2023	Mar 28, 2024	$306M	$306M	8	8	4	n/a	n/a
2022	Mar 29, 2023	$256M	$256M	10	10	3	n/a	n/a
2021	Mar 31, 2022	$296M	$296M	9	9	3	n/a	n/a
2020	Mar 23, 2021	$239M	$239M	6	6	1	n/a	n/a
2019	Mar 30, 2020	$179M	$179M	5	5	1	n/a	n/a
2018	Mar 30, 2019	$155M	$155M	4	4	1	n/a	n/a
2017	Mar 27, 2018	$166M	$166M	4	4	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$359M	$334M	7.7%	$256M	11.9%	7	8	4	4

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	May 4, 2020	Jan 1, 2025	LARGO, FL	Team lift out	Ibd to RIA	0.0%

Relationships

Registered with (10)

← BELINDA JEAN SHEFFIELDAdvisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← GREGG STEPHEN DUCATTEAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← ALAN KEITH GOLDFARBAdvisorregistration: current employment
Aug 5, 2022 to presentfactForm ADV
← SAMUEL DOUGLAS CORNELLAdvisorregistration: current employment
Nov 29, 2021 to presentfactForm ADV
← ERIC QUINTEN GIESLERAdvisorregistration: current employment
Nov 1, 2021 to presentfactForm ADV
← TERRY RAY CARRAdvisorregistration: current employment
Jan 17, 2020 to presentfactForm ADV
← DAVID WILLIAM NOVAKAdvisorregistration: current employment
May 28, 2014 to presentfactForm ADV
← JOSHUA D POWELLAdvisorregistration: current employment
May 6, 2011 to presentfactForm ADV
← VINCENT EDWARD SOBOCINSKIAdvisorregistration: previous registration
Jan 7, 2022 to Jun 14, 2023factForm ADV
← DALE JARRETT KORMANAdvisorregistration: previous registration
May 6, 2019 to Mar 27, 2020factForm ADV

Moved with (1)

← RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser2 advisors, team lift out, same day
May 4, 2020 to Jan 1, 2025factForm ADV

Controls (2)

← NOVAK, DAVID, WILLIAMOwnerPRINCIPAL, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 10, 2017 to Mar 28, 2024factForm ADV
← POWELL, JOSHUA, DOwnerPRINCIPAL, ownership code D, individual
Jan 10, 2017 to Mar 28, 2024factForm ADV

Dated events

Occurred
Jun 14, 2023
Advisor changed firm
Vincent Edward Sobocinski left Novak & Powell Financial Services, Inc. for Stratos Wealth Advisors Llc (registered 2023-06-07)
Form ADVobserved 6 days ago
Occurred
Jan 10, 2017
First Form ADV filing
Novak & Powell Financial Services, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c561db7-e5bc-9861-2589-13b1aa46a6d4
First observed: Jan 10, 2017
Last observed: Mar 22, 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.

NOVAK & POWELL FINANCIAL SERVICES, INC.

CRD 112970

ST. PETERSBURG, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4c561db7-e5bc-9861-2589-13b1aa46a6d4

Data as of Mar 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:50 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JOSHUA D POWELL

n/a

ST. PETERSBURG, FL

DAVID WILLIAM NOVAK

n/a

ST. PETERSBURG, FL

ERIC QUINTEN GIESLER

n/a

ST. PETERSBURG, FL | PINETOP, AZ

TERRY RAY CARR

n/a

Largo, FL | ST. PETERSBURG, FL

SAMUEL DOUGLAS CORNELL

n/a

Tucson, AZ

ALAN KEITH GOLDFARB

Certified Financial Planner

ST. PETERSBURG, FL

GREGG STEPHEN DUCATTE

n/a

Largo, FL | ST. PETERSBURG, FL

BELINDA JEAN SHEFFIELD

n/a

ST. PETERSBURG, FL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

NOVAK, DAVID, WILLIAM

PRINCIPAL, CHIEF COMPLIANCE OFFICER

yes

09/2013

Jan 10, 2017

Mar 28, 2024

POWELL, JOSHUA, D

Principal

yes

09/2013

Jan 10, 2017

Mar 28, 2024

City

State

Country

Employees

Also broker-dealer

Tucson

United States

Boulder

United States

Largo

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 22, 2026

$359M

n/a

2024

Mar 28, 2025

$334M

n/a

2023

Mar 28, 2024

$306M

n/a

2022

Mar 29, 2023

$256M

n/a

2021

Mar 31, 2022

$296M

n/a

2020

Mar 23, 2021

$239M

n/a

2019

Mar 30, 2020

$179M

n/a

2018

Mar 30, 2019

$155M

n/a

2017

Mar 27, 2018

$166M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$359M

$334M

7.7%

$256M

11.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

May 4, 2020

Jan 1, 2025

LARGO, FL

Team lift out

Ibd to RIA

0.0%