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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FLORIDA INVESTMENT ADVISORS

FLORIDA INVESTMENT ADVISORS INC, CRD 109492

TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e1c2cdbf-a028-f4fc-d913-af50b921f6e2

Data as of Nov 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Nov 27, 2013
6 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: $152MItem 5.F on the latest filing (2013-11-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $152M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Accounts: 200
Custody, client assets: $152M
SEC number: 801-55717
CRD: 109492
Filings on the tape: 6
First filed: Mar 27, 2012
Latest filed: Nov 27, 2013
Organised: Corporation, Florida

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DIVERS, ALAN GERALD	Director	Na	yes	02/2013	Mar 27, 2012	Nov 27, 2013
FERMAN, JAMES LAURENS JR.	Director	B	yes	06/1995	Mar 27, 2012	Nov 27, 2013
TAMPA BAY BANKING CO.	Shareholder	E	yes	06/1995	Mar 27, 2012	Nov 27, 2013
VITALE, EMILY PALMER	OPERATIONS MANAGER/FINOP/CCO	Na	yes	10/1998	Mar 27, 2012	Nov 27, 2013
CELESTAN, GREGORY JEROME	Director	Na	no	01/2013	Mar 22, 2013	Nov 27, 2013
FLEMING, THEODORE SCOTT	EXECUTIVE VICE PRESIDENT, WEALTH MANAGEMENT	Na	no	09/2013	Nov 27, 2013	Nov 27, 2013
GARCIA, LUIS	Director	Na	no	04/2001	Mar 27, 2012	Nov 27, 2013
HARROD, GARY WILLIAM	Director	Na	no	08/2007	Mar 27, 2012	Nov 27, 2013
WEST, WILLIAM O III	Chairman	Na	no	02/2013	Mar 22, 2013	Nov 27, 2013
WHITING, PAUL LEO	Director	Na	no	08/2007	Mar 27, 2012	Nov 27, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
THE BANK OF TAMPA	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 22, 2013	$152M	$152M	7	5	n/a	n/a	n/a
2011	Mar 27, 2012	$574M	$574M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$152M	$574M	-73.5%	n/a	n/a	7	n/a	n/a	n/a

Relationships

Controls (4)

← VITALE, EMILY PALMEROwnerOPERATIONS MANAGER/FINOP/CCO, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← DIVERS, ALAN GERALDOwnerDIRECTOR, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← FERMAN, JAMES LAURENS JR.OwnerDIRECTOR, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← TAMPA BAY BANKING CO.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 27, 2012 to presentfactForm ADV

Owns (6)

← FLEMING, THEODORE SCOTTOwnerEXECUTIVE VICE PRESIDENT, WEALTH MANAGEMENT, ownership code NA, individual
Nov 27, 2013 to presentfactForm ADV
← GARCIA, LUISOwnerDIRECTOR, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← CELESTAN, GREGORY JEROMEOwnerDIRECTOR, ownership code NA, individual
Mar 22, 2013 to presentfactForm ADV
← HARROD, GARY WILLIAMOwnerDIRECTOR, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← WHITING, PAUL LEOOwnerDIRECTOR, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← WEST, WILLIAM O IIIOwnerCHAIRMAN, ownership code NA, individual
Mar 22, 2013 to presentfactForm ADV

Registered with (4)

← ANDREY STEFANOV NIANTCHEVAdvisorregistration: previous registration
Mar 1, 2005 to Nov 13, 2013factForm ADV
← ROBERT FENN GILESAdvisorregistration: previous registration
Jan 25, 1996 to Apr 18, 2012factForm ADV
← GELSOMINA MEDAGLIA LIPSCOMBAdvisorregistration: previous registration
Feb 6, 2007 to Apr 18, 2012factForm ADV
← PHILIP LAURENCE MURPHYAdvisorregistration: previous registration
Aug 26, 2004 to Oct 13, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1c2cdbf-a028-f4fc-d913-af50b921f6e2
First observed: Mar 27, 2012
Last observed: Nov 27, 2013 156 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.

FLORIDA INVESTMENT ADVISORS

FLORIDA INVESTMENT ADVISORS INC, CRD 109492

TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e1c2cdbf-a028-f4fc-d913-af50b921f6e2

Data as of Nov 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:49 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DIVERS, ALAN GERALD

Director

yes

02/2013

Mar 27, 2012

Nov 27, 2013

FERMAN, JAMES LAURENS JR.

Director

yes

06/1995

Mar 27, 2012

Nov 27, 2013

TAMPA BAY BANKING CO.

Shareholder

yes

06/1995

Mar 27, 2012

Nov 27, 2013

VITALE, EMILY PALMER

OPERATIONS MANAGER/FINOP/CCO

yes

10/1998

Mar 27, 2012

Nov 27, 2013

CELESTAN, GREGORY JEROME

Director

01/2013

Mar 22, 2013

Nov 27, 2013

FLEMING, THEODORE SCOTT

EXECUTIVE VICE PRESIDENT, WEALTH MANAGEMENT

09/2013

Nov 27, 2013

GARCIA, LUIS

Director

04/2001

Mar 27, 2012

Nov 27, 2013

HARROD, GARY WILLIAM

Director

08/2007

Mar 27, 2012

Nov 27, 2013

WEST, WILLIAM O III

Chairman

02/2013

Mar 22, 2013

Nov 27, 2013

WHITING, PAUL LEO

Director

08/2007

Mar 27, 2012

Nov 27, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

THE BANK OF TAMPA

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 22, 2013

$152M

n/a

2011

Mar 27, 2012

$574M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$152M

$574M

-73.5%

n/a