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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC

CRD 326421

CLEARWATER, 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:4ee49d69-06fd-2afc-0044-5c78b0c14232

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Aug 30, 2023 to Mar 18, 2026
8 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $286MItem 5.F on the latest filing (2026-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $286M
Private client RAUM: $282MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $95.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,811
Individual clients: 706
High net worth clients: 38
Custody, client assets: $9.0M
SEC number: 801-128805
CRD: 326421
Filings on the tape: 8
First filed: Aug 30, 2023
Latest filed: Mar 18, 2026
Organised: Limited Liability Company, FL
Website: thehollandgrp.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
STEVEN LLOYD HOLLAND	n/a	CLEARWATER, FL	1	19	1	no
Joseph Paul Penhallow	n/a	CLEARWATER, FL	1	12	1	no
ALLEN LEROY CLAGGETT	Certified Financial Planner	CLEARWATER, FL	0	15	2	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
HOLLAND, STEVEN, LLOYD	CEO AND CCO	E	yes	01/2003	Aug 30, 2023	Jun 21, 2024

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	Private funds	Fund GAV
2025	Mar 18, 2026	$286M	$286M	10	3	n/a	n/a
2024	Apr 11, 2025	$215M	$215M	10	3	n/a	n/a
2023	Feb 14, 2024	n/a	n/a	9	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
1	0	1	0.0%	0	0	0	4	1

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	$286M	$215M	32.9%	n/a	n/a	10	10	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MUTUAL TRUST ASSET MGMT., INC.	3	May 14, 2024	Jan 1, 2026	CLEARWATER, FL	Team lift out	RIA to new firm	30.0%

Relationships

Registered with (4)

← ALLEN LEROY CLAGGETTAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← Joseph Paul PenhallowAdvisorregistration: current employment
May 8, 2025 to presentfactForm ADV
← STEVEN LLOYD HOLLANDAdvisorregistration: current employment
Apr 2, 2025 to presentfactForm ADV
← PAUL JAMES DIPALMAAdvisorregistration: previous registration
Jan 11, 2024 to Jan 30, 2025factForm ADV

Moved with (1)

← MUTUAL TRUST ASSET MGMT., INC.Registered adviser3 advisors, team lift out, same day
May 14, 2024 to Jan 1, 2026factForm ADV

Controls (1)

← HOLLAND, STEVEN, LLOYDOwnerCEO AND CCO, ownership code E, individual
Aug 30, 2023 to Jun 21, 2024factForm ADV

Dated events

Occurred
Apr 11, 2025
Regulatory AUM changed
The Holland Group, Retirement Wealth Advisors, Llc reported RAUM $215.2M, up 115% from $100.2M (2024-06-21 to 2025-04-11)
Form ADVobserved 4 days ago
$115M
Occurred
Jan 30, 2025
Advisor changed firm
Paul James Dipalma left The Holland Group, Retirement Wealth Advisors, Llc for Libra Wealth Llc (registered 2025-02-28)
Form ADVobserved 4 days ago
Occurred
May 14, 2024
Team lift-out
3 advisors left Mutual Trust Asset Mgmt., Inc. (Clearwater, FL) for The Holland Group, Retirement Wealth Advisors, LLC on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Aug 30, 2023
First Form ADV filing
The Holland Group Income Tax And Financial Strategies Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ee49d69-06fd-2afc-0044-5c78b0c14232
First observed: Aug 30, 2023
Last observed: Mar 18, 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.

THE HOLLAND GROUP, RETIREMENT WEALTH ADVISORS, LLC

CRD 326421

CLEARWATER, 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:4ee49d69-06fd-2afc-0044-5c78b0c14232

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:59 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEVEN LLOYD HOLLAND

n/a

CLEARWATER, FL

Joseph Paul Penhallow

n/a

CLEARWATER, FL

ALLEN LEROY CLAGGETT

Certified Financial Planner

CLEARWATER, FL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOLLAND, STEVEN, LLOYD

CEO AND CCO

yes

01/2003

Aug 30, 2023

Jun 21, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 18, 2026

$286M

n/a

2024

Apr 11, 2025

$215M

n/a

2023

Feb 14, 2024

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

$286M

$215M

32.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MUTUAL TRUST ASSET MGMT., INC.

May 14, 2024

Jan 1, 2026

CLEARWATER, FL

Team lift out

RIA to new firm

30.0%