DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

D••• S••••• A•••• M••••••••• I••

CRD 111163

PALM BEACH, FL

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Data as of Jul 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Mar 8, 2012 to Jul 15, 2026
43 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $370Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••• R•••••• M•••••	n/a	PALM BEACH, FL \| Waccabuc, NY	5	17	n/a	no
S•••••• J• O••••	Chartered Financial Analyst	NEWPORT, RI \| PALM BEACH, FL	5	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••• D•••••• A•••••	Chairman	E	yes	01/1993	Jul 15, 2026	Jul 15, 2026
O••••• S••••••• J•	CHIEF COMPLIANCE OFFICER & PRESIDENT	Na	yes	01/2023	Jul 15, 2026	Jul 15, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••••• A••••••• P••••••• I•• L••	n/a	n/a	n/a	Y	yes	n/a
M•••••••• A••••••• P••••••• V•• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	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	0

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	$1.1B	$906M	22.6%	$515M	29.2%	6	6	2	2

Relationships

Registered with (3)

← J••••• S•••••Advisorregistration: current employment
Jul 20, 2026 to presentfactForm ADV
← S•••••• J• O••••Advisorregistration: current employment
Jan 20, 2021 to presentfactForm ADV
← E••• R•••••• M•••••Advisorregistration: current employment
Jan 8, 2021 to presentfactForm ADV

Controls (2)

Dated events

Occurred
Jul 15, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 28, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$218M
Occurred
Mar 30, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-179M
Occurred
Mar 30, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 8, 2012
Last observed: Jul 15, 2026 2 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.