DFX Intelligence

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

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

C••• P••••••• R••••••••• P••• A•••••••• L••

CRD 148892

FORT MYERS, FL

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Data as of Mar 12, 2021 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 1
Observed: May 20, 2014 to Mar 12, 2021
10 observations

Across DFX

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

Allocatorsidentity

C••• P••••••• R••••••••• P••• A•••••••• L••

Investment consultant · same CRD

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: $478M••• Locked
Discretionary RAUM: $453M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• P••••••• H•••••••• L••	PARENT COMPANY	E	yes	04/2011	May 20, 2014	Mar 12, 2021
C•••• T•••••• D••••	MANAGING MEMBER	D	yes	04/2011	May 20, 2014	Mar 12, 2021

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$478M	$453M	5.5%	$352M	10.8%	6	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E••••••• A•••••••	2	Oct 6, 2021	Jul 30, 2021	FORT MYERS, FL	Team lift out	Other	100.0%

Relationships

Controls (3)

← C•••• T•••••• D••••OwnerMANAGING MEMBER, ownership code D, individual
May 20, 2014 to presentfactForm ADV
← P•••••••• D•••••• M•••OwnerMANAGING MEMBER, ownership code C, individual
May 20, 2014 to presentfactForm ADV
← C••• P••••••• H•••••••• L••OwnerPARENT COMPANY, ownership code E, domestic entity
May 20, 2014 to presentfactForm ADV

Registered with (2)

← D••••• M••• P•••••••Advisor

Dated events

Order

Occurred
20 May 2014
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 20, 2014
Last observed: Mar 12, 2021 67 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.