DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

W•••••••• P•••• P•••••••• L••

CRD 140781

WEST PALM BEACH, 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:5e8247f5-4090-359c-f0b5-ae2024446f7f

Data as of Jan 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 6
On other graphs: 0
Observed: Apr 3, 2012 to Jan 16, 2026
38 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=0.63 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $653Mderived••• Locked
Private client share: 63%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $260Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••••• P••• D•••••	n/a	PROVIDENCE, RI	20	28	2	no
T•••• C••••• R•••	n/a	WEST PALM BEACH, FL	8	24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• B••••••• P•••	CEO & MANAGING PARTNER	D	yes	05/2006	Jan 16, 2026	Jan 16, 2026
R•••• T••••• C•••••	PARTNER/CHIEF OPERATING OFFICER	C	yes	12/2014	Jan 16, 2026	Jan 16, 2026

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	$1.0B	$757M	37.1%	$655M	16.6%	6	7	1	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• H••••••• L••	3	Jul 24, 2018	Aug 16, 2018	WEST PALM BEACH, FL	Firm absorbed	RIA to new firm	75.0%

Relationships

Controls (2)

← D•••••• B••••••• P•••OwnerCEO & MANAGING PARTNER, ownership code D, individual
Jan 16, 2026 to presentfactForm ADV
← R•••• T••••• C•••••OwnerPARTNER/CHIEF OPERATING OFFICER, ownership code C, individual
Jan 16, 2026 to presentfactForm ADV

Owns (1)

← R•••• J••••••• R•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 16, 2026 to presentfactForm ADV

Registered with (10)

← L••••• A••• S•••••

Dated events

Occurred
Jan 16, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$281M
Occurred
Jan 16, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Jan 16, 2026
Ria hq relocated
••• Locked
Form ADVobserved today
Occurred
Mar 16, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e8247f5-4090-359c-f0b5-ae2024446f7f
First observed: Apr 3, 2012
Last observed: Jan 16, 2026 8 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.