DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

R•••••• C•••••• A•••••••• L••

CRD 154412

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Search this name across graphsid dfx:ria:ab052e8e-7fa5-01f8-6e3b-f951e3ca5b55

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 3, 2026 to Sep 3, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $34.3M••• Locked
Discretionary RAUM: $28.8M
Private client RAUM: $34.3Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G••••••• P•••• R••••••	Chartered Financial Analyst	SARASOTA, FL \| MAGGIE VALLEY, NC	4	39	n/a	no
L•••• J•• S•••••••••	Chartered Financial Analyst	SARASOTA, FL	4	14

Relationships

Registered with (2)

← G••••••• P•••• R••••••Advisorregistration: current employment
Mar 14, 2022 to presentfactForm ADV
← L•••• J•• S•••••••••Advisorregistration: current employment
Mar 14, 2022 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab052e8e-7fa5-01f8-6e3b-f951e3ca5b55
First observed: Sep 3, 2026
Last observed: Sep 3, 2026 20 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.