DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S••••••• E••••• M••••••••• L••

CRD 108289

TAMPA, FL

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Search this name across graphsid dfx:ria:8ac390e4-5d60-2457-1087-2898e8457846

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 14
On other graphs: 0
Observed: Nov 10, 2011 to Mar 25, 2026
60 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=0.54 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.1B••• Locked
Discretionary RAUM: $2.1B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 54%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $302Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• R••••• J••••	n/a	TAMPA, FL	28	29	n/a	no
E•••••• T••••• S••••	n/a	TAMPA, FL	12	17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••• D•••••• R•••••	MANAGING MEMBER	E	yes	09/1997	Mar 25, 2026	Mar 25, 2026
M•••••••• D•••••	President	Na	no	04/2020	Mar 25, 2026	Mar 25, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Tampa	FL	United States	4	no
Highlands	Nc	United States	0	no

Regulatory AUM by fiscal year

••• Locked

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

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	7	-6	100.0%	0	0	0	2	7

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	$2.1B	$1.9B	13.3%	$841M	36.0%	12	20	0	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••	6	Jan 28, 2026	Mar 2, 2026	TAMPA, FL	Team lift out	Other	42.9%

Relationships

Controls (1)

← J••••• D•••••• R•••••OwnerMANAGING MEMBER, ownership code E, individual
Mar 25, 2026 to presentfactForm ADV

Owns (3)

← S••••• E••••••• T•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 25, 2026 to presentfactForm ADV
← M•••••••• D•••••OwnerPRESIDENT, ownership code NA, individual
Mar 25, 2026 to presentfactForm ADV
← O•••••• K••••••• E•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual

Dated events

Occurred
Jan 28, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
6 advisors
Occurred
Jan 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 28, 2026
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ac390e4-5d60-2457-1087-2898e8457846
First observed: Nov 10, 2011
Last observed: Mar 25, 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.