DFX Intelligence

F•••••••• P••••••• C••••••• O• A••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

F•••••••• P••••••• C••••••• O• A••••••• I•••

CRD 126411

WEST PALM BEACH, FL

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Search this name across graphsid dfx:ria:7e195353-6e0b-880c-b7ca-ce296948f63c

Data as of Mar 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 16
On other graphs: 0
Observed: Mar 30, 2012 to Mar 28, 2025
23 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: $155M••• Locked
Discretionary RAUM: $138M
Private client RAUM: $151Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• N•••• R••••••	Manager	F	yes	11/2021	Mar 31, 2022	Mar 21, 2024
C• C•••••••• M•••• L••	Member	E	yes	04/2020	Jun 5, 2020	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• S•••• • C•• L••	n/a	Wirehouse	$134B	Y	no	n/a
P••••••••• F•••••••• G••••• L••	n/a	Other adviser	$72B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$155M	$126M	23.7%	$141M	3.3%	2	2	0	0

Relationships

Affiliated with (5)

← W•••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← W••••• A••••••• G••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ W•••• A••••••• S•••••••Registered adviserother investment adviser, broker-dealer, insurance company, LP sponsor, common control
factForm ADV
→ W•••• I••••••••• A•••••••• L••Registered adviser

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e195353-6e0b-880c-b7ca-ce296948f63c
First observed: Mar 30, 2012
Last observed: Mar 28, 2025 18 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.