DFX Intelligence

B••••• A•••• M••••••••• 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

B••••• A•••• M••••••••• I•••

CRD 112768

CLEARWATER, FL

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Search this name across graphsid dfx:ria:9afc5dd4-6b48-12c7-b857-5825c34aec30

Data as of Dec 19, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 6
On other graphs: 0
Observed: Mar 30, 2012 to Dec 19, 2024
13 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: $104M••• Locked
Discretionary RAUM: $104M
Private client RAUM: $104Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• L••• J•••••	CHIEF EXECUTIVE OFFICER/PRESIDENT	D	yes	01/2017	Mar 30, 2012	Dec 19, 2024
W••••••• B••••• J••••	CHIEF COMPLIANCE OFFICER	B	yes	12/2004	Mar 30, 2012	Dec 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• C•••• C••••••• L••• A• F•••••• L•••••• L•••••••• C••••••	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
2023	Mar 28, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$104M	$96.5M	7.4%	n/a	n/a	4	4	0	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• W••••• M•••••••••	3	Apr 28, 2017	May 5, 2017	CLEARWATER, FL	Firm absorbed	Other	75.0%

Relationships

Controls (2)

← W••••••• B••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV
← G•••••• L••• J•••••OwnerCHIEF EXECUTIVE OFFICER/PRESIDENT, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← S••••• E••••••••• S••••OwnerSHAREHOLDER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (9)

← M••• J••• G•••••

Dated events

Occurred
May 2, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
$104M
Occurred
Apr 16, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 11, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 29, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9afc5dd4-6b48-12c7-b857-5825c34aec30
First observed: Mar 30, 2012
Last observed: Dec 19, 2024 21 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.