DFX Intelligence

C••••• 3•• W•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

C••••• 3•• W•••••• L••

CRD 296771

OCALA, FL

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Data as of Jan 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 0
Observed: May 25, 2018 to Jan 23, 2026
15 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=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $383M••• Locked
Discretionary RAUM: $324M
Private client RAUM: $351Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $63.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• C••• L••••••	n/a	OCALA, FL	8	21	2	no
L•••• M••••••••• P•••••	n/a	OCALA, FL	8	17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• F•••••••• S•••••••• L••	Partner	C	yes	05/2018	May 25, 2018	Feb 14, 2024
L••••••• R••••••• C•••	Member	E	yes	09/2005	May 25, 2018	Feb 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••••• C•••• • A••••••••• L••	n/a	n/a	n/a	N	yes	n/a
M••••••• W••••• I••••••••• L••	n/a	n/a	n/a	N	yes	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
0	2	-2	33.3%	0	0	0	0	2

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	$383M	$316M	21.2%	$231M	18.4%	9	9	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• R••• W••••• M••••••••• L••	2	Jan 23, 2026	Mar 17, 2026	OCALA, FL	Team lift out	RIA to state RIA	25.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••	2	Jul 23, 2018	Aug 31, 2018	OCALA, FL	Team lift out	Other	25.0%

Relationships

Registered with (8)

← H••••• D••••Advisorregistration: current employment
Jan 12, 2026 to presentfactForm ADV
← T•••••• E• K••••••••Advisorregistration: current employment
Jul 25, 2023 to presentfactForm ADV
← J••• D•••• C•••••••••Advisorregistration: current employment
Apr 28, 2022 to presentfactForm ADV
← L•••• M••••••••• P•••••

Dated events

Occurred
Jan 23, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jan 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 25, 2018

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 25, 2018
Last observed: Jan 23, 2026 8 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.