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4••• G•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

4••• G•••••••••

CRD 154279

ALTAMONTE SPRINGS,, FL

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Search this name across graphsid dfx:ria:6bf1bcd7-58f3-dbe3-ff54-f7001fc15ab3

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 3
On other graphs: 0
Observed: Mar 22, 2012 to Mar 24, 2026
48 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=0.77 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $156MItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $85.3M
Private client RAUM: $120MderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••••• R••••	n/a	ALTAMONTE SPRINGS,, FL	12	14	n/a	no
G•••• M•••••••	n/a	ALTAMONTE SPRINGS,, FL	9	15

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
k••••••• b•••••• d•••	CHIEF OPERATING OFFICER	Na	yes	07/2020	Jul 24, 2020	Mar 27, 2024
N•••••• M••••••• J••••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2018	Mar 30, 2018

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	2	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$156M	$173M	-9.5%	$131M	6.2%	35	39	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R••••• W••••• M•••••••••	2	Jan 7, 2021	Dec 20, 2010	TAVARES, FL	Team lift out	Other	22.2%

Relationships

Registered with (12)

← K•••• D•••• R••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← M•••••• J•••••• N•••••Advisorregistration: current employment
Nov 27, 2023 to presentfactForm ADV
← D••••• B•••• M•••••••••Advisorregistration: current employment
Oct 21, 2022 to presentfactForm ADV
← E••• S•••••••

Dated events

Occurred
Jul 24, 2020
Control person joined
Dawn Brenda Kincaid (Chief Operating Officer) appeared on Schedule A of 4••• G•••••••••
Form ADVobserved 7 days ago
Occurred
Mar 30, 2020
Regulatory AUM changed
4••• G••••••••• reported RAUM $270.4M, up 148% from $109.0M (2019-09-09 to 2020-03-30)
Form ADVobserved 7 days ago
$161M
Occurred
Mar 25, 2019
Control person left
Manuel Octavio Prieto-Izaguirre (Chief Operating Officer) no longer on Schedule A of 4••• G••••••••• (listed 2018-06-19, absent 2019-03-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6bf1bcd7-58f3-dbe3-ff54-f7001fc15ab3
First observed: Mar 22, 2012
Last observed: Mar 24, 2026 6 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.

2025	Mar 24, 2026	$156M	$85.3M	35	6	0	n/a	n/a
2024	Mar 25, 2025	$173M	$122M	39	6	0	n/a	n/a
2023	Mar 27, 2024	$139M	$110M	34	6	0	n/a	n/a
2022	Mar 28, 2023	$131M	$109M	35	7	0	n/a	n/a
2021	Mar 25, 2022	$143M	$109M	34	6	0	n/a	n/a
2020	Mar 15, 2021	$242M	$212M	34	10	0	n/a	n/a
2019	Mar 30, 2020	$270M	$248M	31	31	1	n/a	n/a
2018	Mar 25, 2019	$109M	$92.3M	15	15	0	n/a	n/a
2017	Mar 30, 2018	$25.0M	$8.1M	16	11	0	n/a	n/a
2016	Mar 31, 2017	$13.7M	$3.5M	14	7	n/a	n/a	n/a
2015	Mar 31, 2016	$9.9M	$9.9M	11	11	n/a	n/a	n/a
2014	Mar 31, 2015	$566,296	$566,296	9	9	n/a	n/a	n/a
2013	Mar 27, 2014	$12.9M	$0	8	6	n/a	n/a	n/a
2012	Mar 28, 2013	$10.0M	$0	6	3	n/a	n/a	n/a
2011	Mar 22, 2012	$70.2M	$0	n/a	n/a	n/a	n/a	n/a