DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

T•• R••••••••• R•••••••• I••••••••

401(K) CERTIFIED INDEPENDENT INVESTMENT ADVISORS, LLC, CRD 151123

BOCA RATON, FL

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Search this name across graphsid dfx:ria:6a9fd941-f90f-a054-0fea-522ad96679d5

Data as of Jun 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 18, 2026 to Jun 18, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $18.3M••• Locked
Discretionary RAUM: $18.3M
Private client RAUM: $5.1Mderived••• Locked
Private client share: 28%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• L••••••• F•••••••	n/a	BOCA RATON, FL	16	39	2	no

Relationships

Registered with (2)

← C•••• L••••••• F•••••••Advisorregistration: current employment
Nov 12, 2009 to presentfactForm ADV
← Bart HartmanAdvisorregistration: previous registration
Nov 10, 2015 to Apr 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a9fd941-f90f-a054-0fea-522ad96679d5
First observed: Jun 18, 2026
Last observed: Jun 18, 2026 3 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.