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CRD 322265
LAKELAND, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D••• M•• B••• | n/a | Peachtree City, GA | 3 | 32 | 1 | no |
| B•••• S•••••• P••••• | n/a | Winter Haven, FL | LAKELAND, FL | 3 | 41 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• D•••• M•• | MEMBER, CHIEF COMPLIANCE OFFICER | B | yes | 06/2022 | Mar 27, 2023 | May 2, 2024 |
| W••••• M•••• R•••••• | CHIEF EXECUTIVE MEMBER | E | yes | 06/2022 | Mar 27, 2023 | May 2, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WINTER HAVEN | FL | United States | 2 | no |
| PUNTA GORDA | FL | United States | 1 | no |
| WEST PALM BEACH | FL | United States | 1 | no |
| PEACHTREE CITY | Ga | United States | 1 | no |
| NEW YORK | NY | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 22, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 2 | 0 | 0 | 11 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $339M | $277M | 22.2% | n/a | n/a | 17 | 17 | 17 | 15 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B••••••••• F•••••••• M••••••••• ••• L•• | 2 | Oct 26, 2024 | Oct 10, 2024 | TAMPA, FL | Team lift out | RIA to RIA | 7.7% |
| no |
| N••••• C•••••• T••• | n/a | Naples, FL | Miami, FL | 3 | 17 | 3 | no |
| T•••••• A••• K•••••• | n/a | Setubal | 3 | 11 | 2 | no |
| S•••• E••••• P••• | n/a | Essex | 2 | 11 | 2 | no |
| G•• B••• M••••••• V•••• | n/a | West Palm Beach, FL | 2 | 12 | 2 | no |
| A•••••••• P•••• S•••••••• | n/a | New York, NY | LAKELAND, FL | Chislehurst, Kent | 2 | 17 | 1 | no |
| D•••• R••••• W•••••• | n/a | Fort Myers, FL | 2 | 44 | 2 | no |
| J•••• L••••••• | n/a | Norwich | 2 | 10 | n/a | no |
| C••••••••• L•• S•••••• | n/a | Winter Garden, FL | 2 | 18 | 1 | no |
| D••••• M••••• L•••• | n/a | Cheltenham | 2 | 11 | n/a | no |
| R•••••• S• T••••••••• | n/a | Tampa, FL | 1 | 15 | 2 | no |
| J•••• W•••••• H••••• | n/a | Tampa, FL | 1 | 18 | 2 | no |
| L•••• M•••••• P••••• | n/a | Winter Haven, FL | LAKELAND, FL | 1 | 11 | 1 | no |
| J••••• C•••• F••• | n/a | Lady Lake, FL | LAKELAND, FL | 1 | 12 | 2 | no |
| K••••• R••• B••••••• | n/a | Alpharetta, GA | 0 | 11 | 1 | no |
| B•••• T••••• B•••• | n/a | Naples, FL | 0 | 28 | 5 | no |
| no |
| CHISLEHURST, KENT | n/a | United Kingdom | 1 | no |
| Setubal | n/a | Portugal | 1 | no |
| n/a | n/a | n/a | 1 | no |
| $339M |
| $339M |
| 17 |
| 16 |
| 17 |
| n/a |
| n/a |
| 2024 | Apr 11, 2025 | $277M | $277M | 17 | 16 | 15 | n/a | n/a |
| 2023 | Feb 28, 2024 | $141M | $141M | 15 | 14 | 12 | n/a | n/a |