DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••••• F•••••••• G••••• I•••

CRD 125186

DEERFIELD BEACH, FL

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Search this name across graphsid dfx:ria:d57e7145-f280-4ef6-0492-817f5cb76fad

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 1
Observed: Mar 9, 2012 to Mar 26, 2026
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

C•••••• F•••••••• G••••• I•••

Family office · key cik, key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $430M••• Locked
Discretionary RAUM: $430M
Private client RAUM: $430Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $143Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• C•••••• S••••	Certified Financial Planner\|Chartered Financial Analyst	DEERFIELD BEACH, FL	23	33	n/a	no
J•• L••••• S••••	Certified Financial Planner	DEERFIELD BEACH, FL	23	41

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• B••••• C••••••	PRESIDENT / CEO / CCO	E	yes	02/2003	Mar 9, 2012	May 10, 2024
S••••• J••• L•••••	VICE PRESIDENT / CO-CHIEF INVESTMENT OFFICER	Na	yes	10/1984	Mar 9, 2012	May 10, 2024

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	$430M	$406M	5.9%	$347M	7.4%	6	6	0	0

Relationships

Registered with (4)

← S••••• L••• B•••••••Advisorregistration: current employment
Apr 6, 2020 to presentfactForm ADV
← J•• L••••• S••••Advisorregistration: current employment
Apr 7, 2003 to presentfactForm ADV
← B•••• C•••••• S••••Advisorregistration: current employment
Mar 24, 2003 to presentfactForm ADV
← J•• S•••• A•••

Dated events

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

Occurred
Mar 26, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2026
Ria principal change
••• Locked
Form ADVobserved today

Show 3 bookkeeping events

Occurred
Mar 26, 2026
••• Locked
Occurred
Mar 26, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d57e7145-f280-4ef6-0492-817f5cb76fad
First observed: Mar 9, 2012
Last observed: Mar 26, 2026 6 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.