DFX Intelligence

R••••••••• M•••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

R••••••••• M•••• M•••••••••

SUCCESSFUL M•••• MANAGEMENT OF SARASOTA, INC., CRD 145149

SARASOTA, FL

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Search this name across graphsid dfx:ria:6a03281a-d0b1-9d7f-7097-2015b743c344

Data as of Jan 10, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Jan 10, 2018
13 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $27.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $27.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $27.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• L•••• L••	n/a	Sarasota, FL	9	42	3	yes

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• R•••••• L••••	PRESIDENT/CEO & CHIEF COMPLIANCE OFFICER	E	yes	05/2007	Mar 29, 2012	Jan 10, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 29, 2017

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
2016	$27.0M	$63.0M	-57.1%	$73.0M	-28.2%	3	3	0	n/a

Relationships

Controls (1)

← L••• R•••••• L••••OwnerPRESIDENT/CEO & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (3)

← R••••• L•••• L••Advisorregistration: previous registration
Dec 19, 2008 to Dec 31, 2016factForm ADV
← J•• R•••••• L••••••Advisorregistration: previous registration
Apr 6, 2017 to Nov 16, 2022factForm ADV
← T••••• M••••• K•••••

Dated events

Occurred
Nov 16, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 20, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a03281a-d0b1-9d7f-7097-2015b743c344
First observed: Mar 29, 2012
Last observed: Jan 10, 2018 105 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.