DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 10b 100b

E•••• A•••• M••••••••• I••

CRD 110653

ST. PETERSBURG, FL

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Search this name across graphsid dfx:ria:a399fa54-72a4-843f-1447-b57e70765366

Data as of Jun 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 13
On other graphs: 1
Observed: Dec 23, 2011 to Jun 2, 2026
39 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

E•••• A•••• M••••••••• I••

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.34 fund_share=0.15 institutional_share=0.02 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $61B••• Locked
Discretionary RAUM: $32B
Private client RAUM: $21Bderived••• Locked
Private client share: 34%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $61Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• W••••• C•••••••••	n/a	ST. PETERSBURG, FL	12	18	2	yes

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E•••• G••••• P••••••• I•	Hedge Fund	$47.0M	Oct 24, 2023	40	Dec 23, 2011	dropped	021-110145
E•••• G••••• P••••••• I•	Hedge Fund	$33.6M	Oct 24, 2023

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• T•••• A•••••••• I•••	Owner	E	yes	11/2017	Jun 2, 2026	Jun 2, 2026
M••••••• E••••• K•	CHIEF COMPLIANCE OFFICER	Na	yes	05/2026	Jun 2, 2026	Jun 2, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• J•••• • A••••••••• I•••	n/a	National bd RIA	$501B	N	yes	FL
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	n/a	Bd affiliated wealth	$390B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	9	no
Denver	Co	United States	5	yes
Stowe	Vt	United States	5	no
Memphis	Tn	United States	4	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
0	0	0	0.0%	0	0	0	0	1

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	$61B	$34B	80.8%	$39B	15.8%	77	66	4	4

Relationships

Affiliated with (21)

← R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserother investment adviser, common control
factForm ADV
← R•••••• J•••• • A••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← R•••••• J•••• •••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••••• I••••••••• P•••••••Registered adviser

Dated events

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

Occurred
Jun 2, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jun 2, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Apr 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a399fa54-72a4-843f-1447-b57e70765366
First observed: Dec 23, 2011
Last observed: Jun 2, 2026 3 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.