DFX Intelligence

P•••• F•••••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

P•••• F•••••••• P•••••••• L••

CRD 324253

TAMPA, FL

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Search this name across graphsid dfx:ria:c3241a37-b388-9c43-b038-9ae51a92e9f0

Data as of Feb 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Dec 22, 2022 to Feb 12, 2026
9 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: mixed wealth managerderivedprivate_client_share=0.27 fund_share=0.0 institutional_share=0.73 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $329M••• Locked
Discretionary RAUM: $319M
Private client RAUM: $89.5Mderived••• Locked
Private client share: 27%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $82.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• L••• T•••••	Chartered Financial Consultant	TAMPA, FL	3	28	2	yes
R•••• S••••• M••••••	Certified Financial Planner\|Chartered Financial Consultant	TAMPA, FL	3	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• R••••• S•••••	MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	02/2023	Feb 2, 2023	Mar 20, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 12, 2026

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••••• M••••• I••••••••• S•••••••••	2	Feb 11, 2023	Feb 17, 2023	TAMPA, FL	Team lift out	Other	0.1%

Relationships

Registered with (4)

← D••••• H••••••••Advisorregistration: current employment
Oct 22, 2025 to presentfactForm ADV
← J••• M••••• V•••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← D••••• L••• T•••••Advisorregistration: current employment
Feb 17, 2023 to presentfactForm ADV
← R•••• S••••• M••••••

Dated events

Occurred
Feb 11, 2023
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Feb 2, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 2, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 22, 2022
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3241a37-b388-9c43-b038-9ae51a92e9f0
First observed: Dec 22, 2022
Last observed: Feb 12, 2026 7 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.