DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

C•••••• C•••••• G••••

C•••••• C•••••• G••••, INC., CRD 121923

PALM BEACH, FL

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Search this name across graphsid dfx:ria:cc54438c-7ee8-722f-7e74-93e225a95da9

Data as of Aug 11, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 11
On other graphs: 0
Observed: Nov 30, 2011 to Aug 11, 2025
48 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: $57.5M••• Locked
Discretionary RAUM: $57.0M
Private client RAUM: $56.4Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $28.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• S••••••	n/a	MYAKKA CITY, FL \| SARASOTA, FL \| PALM BEACH, FL	20	30	n/a	no
T•••••• D• S•••••••••	n/a	SARASOTA, FL \| PALM BEACH, FL	20	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• P••••••••	Trustee	F	yes	05/2019	Mar 26, 2019	Mar 27, 2024
C••••••••• P••••••••	Trustee	F	yes	05/2019	Mar 26, 2019	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• B••• • T••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sarasota	FL	United States	1	no
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

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••• Q•••• A•••••••• L••	2	Jun 19, 2020	Jul 7, 2020	IRVING, TX	Team lift out	RIA to RIA	100.0%

Relationships

Affiliated with (1)

← C•••• I••••••••• P••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Registered with (7)

← T•••••• D• S•••••••••Advisorregistration: current employment
Nov 23, 2005 to presentfactForm ADV
← B•••• S••••••Advisorregistration: current employment
Nov 23, 2005 to presentfactForm ADV
←

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 20, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc54438c-7ee8-722f-7e74-93e225a95da9
First observed: Nov 30, 2011
Last observed: Aug 11, 2025 13 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.