DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A••• F•••••• • S••••• L••

CRD 162858

VALRICO, FL

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Search this name across graphsid dfx:ria:55597b42-ed4c-d945-b6d9-7d39914b800d

Data as of May 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 12, 2012 to May 20, 2026
26 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=0.59 fund_share=0.0 institutional_share=0.39 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $368M••• Locked
Discretionary RAUM: $39.6M
Private client RAUM: $217Mderived••• Locked
Private client share: 59%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $184Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• L••••• N•••••	MEMBER/CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Jul 12, 2012	Oct 21, 2024
S••••• C••••••• T•••••••	PRESIDENT/PRINCIPAL/MANAGING MEMBER	E	yes	01/2012	Jul 12, 2012	Oct 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• F•••••• A•• C••••••• I•••	n/a	Independent wealth	$259M	N	yes	n/a

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	0	0	0.0%	0	0	0	0	0

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	$368M	$324M	13.9%	$248M	14.1%	2	2	0	0

Relationships

Affiliated with (2)

→ A••• F•••••• A•• C••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← A••• F•••••• A•• C••••••• I•••Registered adviserother investment adviser
factForm ADV

Registered with (3)

← L•••• N••••• A••Advisorregistration: current employment
Aug 14, 2012 to presentfactForm ADV
← C•••••• T••••••• S••••

Dated events

Occurred
Jul 12, 2012
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55597b42-ed4c-d945-b6d9-7d39914b800d
First observed: Jul 12, 2012
Last observed: May 20, 2026 4 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.