DFX Intelligence

A••••• F•• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

A••••• F•• A••••••• L••

CRD 135152

ORLANDO, FL

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Search this name across graphsid dfx:ria:819740ff-5437-6736-6109-f7a3710f8eb5

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 26
On other graphs: 0
Observed: Mar 8, 2012 to Aug 20, 2026
39 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $641M••• Locked
Discretionary RAUM: $641M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• Q••••	TREASURER, PFO	Na	yes	11/2019	Nov 6, 2019	Oct 30, 2024
C••••• D••••• A•••	CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUND••••G OFFICER	Na	yes	11/2019	Nov 6, 2019	Oct 30, 2024

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	$641M	$354M	81.0%	$529M	6.6%	5	8	0	0

Relationships

Affiliated with (1)

← T••• C•••••• L••Registered adviserother investment adviser
factForm ADV

Controls (6)

← S•••• R•••••• J•••••OwnerMEMBER, ownership code A, individual
Feb 26, 2021 to Oct 30, 2024factForm ADV
← C••••• D••••• A•••OwnerCHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUND••••G OFFICER, ownership code NA, individual
Nov 6, 2019 to Oct 30, 2024factForm ADV
← P••••••••• J••••OwnerMEMBER, PRESIDENT, ownership code B, individual

Dated events

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

Occurred
Aug 20, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Aug 20, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 20, 2026
Ria majority owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:819740ff-5437-6736-6109-f7a3710f8eb5
First observed: Mar 8, 2012
Last observed: Aug 20, 2026 34 days 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.