DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

D•••• C•••••• M••••••••• L••

CRD 128350

MAITLAND, FL

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Search this name across graphsid dfx:ria:756b2cc3-0425-54e7-f310-3865d04630fa

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 13
On other graphs: 1
Observed: Mar 30, 2020 to Mar 31, 2026
10 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

D•••• C•••••• M••••••••• L••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $277M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $46.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• E•••••• T••••••••	n/a	MAITLAND, FL	10	15	1	no
D••••• C••••• D•••••	Certified Financial Planner	MAITLAND, FL	0	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• A••	Owner	E	yes	01/2023	May 1, 2023	Apr 1, 2024
J••••••• M••••• R••••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2018	Mar 30, 2020	Apr 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• A••••••• G••••• I•••	n/a	Independent wealth	$216M	N	yes	n/a
D•••• I•••••••• G••••• L••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	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	$277M	$248M	11.7%	$202M	11.1%	9	8	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• H•••••• W••••• M••••••••• L••	3	Feb 9, 2023	Mar 17, 2023	MAITLAND, FL	Team lift out	RIA to state RIA	42.9%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••• F•••••••• G•••• A•••••••	2	Mar 20, 2020	Dec 16, 2022	ORLANDO, FL	Team lift out	Ibd to RIA	0.7%

Relationships

Affiliated with (3)

→ D•••• A••••••• G••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← D•••• A••••••• G••••• I•••Registered adviserother investment adviser
factForm ADV
← A•••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Registered with (15)

← M••••••• G•••• B••••

Dated events

Occurred
May 1, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
May 1, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 9, 2023
Team lift-out
••• Locked
Form ADVobserved 8 days ago
3 advisors
Occurred
Feb 9, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:756b2cc3-0425-54e7-f310-3865d04630fa
First observed: Mar 30, 2020
Last observed: Mar 31, 2026 5 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.