DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

Z•• I••••••••• M••••••••• I••

CRD 105587

ORANGE CITY, FL

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Search this name across graphsid dfx:ria:cb9790f9-34e0-35b1-3ef6-2000ac629c34

Data as of Mar 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 16, 2011 to Mar 28, 2019
34 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $97.1M••• Locked
Discretionary RAUM: $97.1M
Private client RAUM: $61.5Mderived••• Locked
Private client share: 63%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Z••••••••• M•••• D••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	10/2011	Dec 16, 2011	Mar 28, 2019
F••• R•••• A••	VICE PRESIDENT/SECRETARY	Na	no	07/1994	Dec 16, 2011	Mar 28, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••• N••••••• A•••• M••••••••• I•••	n/a	Independent wealth	$73.1M	N	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
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$97.1M	$143M	-31.9%	$152M	-14.0%	8	7	1	1

Relationships

Affiliated with (1)

→ L•••• I••••••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← Z••••••••• M•••• D••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 16, 2011 to presentfactForm ADV

Owns (1)

← F••• R•••• A••OwnerVICE PRESIDENT/SECRETARY, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV

Registered with (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb9790f9-34e0-35b1-3ef6-2000ac629c34
First observed: Dec 16, 2011
Last observed: Mar 28, 2019 91 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.