DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P•••• W••••• P•••••••• L••

CRD 330058

WINTER PARK, FL

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Search this name across graphsid dfx:ria:5edbd921-0a59-498c-c728-ca2ee2f30f7f

Data as of Sep 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 5
On other graphs: 0
Observed: Feb 19, 2024 to Sep 4, 2026
10 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: $214M••• Locked
Discretionary RAUM: $214M
Private client RAUM: $214Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $214Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• A••••• B•••••	Certified Financial Planner	WINTER PARK, FL	2	11	3	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• R•••••• A•••••	PRESIDENT & CCO	E	yes	06/2024	Jul 1, 2024	Jul 16, 2024
F••••••• S••••• E•••••	Partner	Na	no	01/2024	Feb 19, 2024	Jul 16, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 23, 2026	$208M	$208M	2	1	0	n/a	n/a

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	1	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	$214M	n/a	n/a	n/a	n/a	4	n/a	0	n/a

Relationships

Registered with (1)

← R••••• A••••• B•••••Advisorregistration: previous registration
Jun 27, 2024 to Jul 19, 2024factForm ADV

Controls (1)

← B•••••• R•••••• A•••••OwnerPRESIDENT & CCO, ownership code E, individual
Jul 1, 2024 to Jul 16, 2024factForm ADV

Owns (1)

← F••••••• S••••• E•••••OwnerPARTNER, ownership code NA, individual
Feb 19, 2024 to Jul 16, 2024factForm ADV

Dated events

Occurred
Sep 4, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Sep 4, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 23, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$106M
Occurred
Jul 1, 2024

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5edbd921-0a59-498c-c728-ca2ee2f30f7f
First observed: Feb 19, 2024
Last observed: Sep 4, 2026 19 days 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.