DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Cps Investment Advisors
Legal name Chas. P. Smith & Associates, Pa, Cpa'S
Latest filing Mar 27, 2026
First filing on the tape Mar 15, 2012 · 45 filings
SEC status approved since Oct 6, 1989
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$2.4B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
60
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$2.9B as of Mar 27, 2026
Mar 15, 2012$483M then
HNW client RAUM$1.7B as of Mar 27, 2026
Apr 30, 2018$146M then
State-registered IARs (5.B.3)15 as of Mar 27, 2026
Apr 1, 201310 then
Employees (5.A)60 as of Mar 27, 2026
Apr 1, 201311 then
Private funds: no history
RAUM +8.7% over the last fiscal year+13% a year over threeIARs 17 to 15
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 173derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $392,222derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 18.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $55.0M, 56 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B58%
- Individuals$688M24%
- Pension and profit-sharing plans$367M13%
- Corporations and businesses$80.1M2.8%
- Charitable organizations$65.6M2.3%
- Individual clients
- 2,460reported
- HNW clients
- 647reported
- Pension plan clients
- 220reported
- Charitable clients
- 19reported
- Accounts
- 7,364reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.0M for 56 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Larry Keith TyndallPersonal Financial Specialist | Winterville, Nc | Sep 7, 2006 | 25 y | 1 |
| Christopher Lynn Tyndall | Winterville, Nc | Sep 7, 2006 | 27 y | 1 |
| Derek Hugh Stroud | Winterville, Nc | Sep 7, 2006 | 26 y | 1 |
| Peter Charles GolotkoPersonal Financial Specialist | Lakeland, Fl | Dec 18, 2006 | 36 y | 0 |
| Derek Michael OxfordCertified Financial Planner | Lakeland, Fl | Aug 14, 2008 | 21 y | 1 |
| Gary Eldon Clark | Lakeland, Fl | Mar 10, 2009 | 19 y | 0 |
| Michael Aaron RiskinCertified Financial Planner | Lakeland, Fl | Mar 11, 2010 | 10 y | 0 |
| Nolen Bryan BaileyCertified Financial Planner | Lakeland, Fl | Nov 21, 2011 | 15 y | 0 |
| Anthony Mario CorraoCertified Financial Planner | Lakeland, Fl | Jul 17, 2012 | 14 y | 0 |
| Robert Mark Eckenroth | Lakeland, Fl | Aug 24, 2016 | 14 y | 0 |
| Richard David BernardCertified Financial Planner | Lakeland, Fl | Mar 6, 2017 | 10 y | 0 |
| Sterling Jackson Searcy | Lakeland, Fl | Sep 10, 2018 | 10 y | 0 |
| Tamara L Jemison | Lakeland, Fl | Dec 20, 2018 | 13 y | 2 |
| Kelley Christopher WilsonCertified Financial Planner | Lakeland, Fl | Dec 26, 2018 | 10 y | 0 |
| Patrick Egan GauthierCertified Financial Planner | Lakeland, Fl | Nov 4, 2019 | 15 y | 2 |
| Eric J Jackson | Lakeland, Fl | May 17, 2021 | 13 y | 3 |
| Ryan Patrick Higgins | Lakeland, Fl | Jul 20, 2022 | 11 y | 2 |
| Rachael Allison Savinon Mota | Lakeland, Fl | Jan 13, 2023 | 15 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount4 left over 36 months
Left, latest
- Gary Bryon Gragg to Gragg FinancialDec 16, 2025 · RIA to RIA
- Jason Daniel Gragg to Gragg FinancialDec 16, 2025 · RIA to RIA
- Richard Andrew Widick to Modera Wealth Management, LLCApr 11, 2025 · RIA to RIA
- Shawn Joseph Mccabe to Gunn & Company Investment Management, Inc.Jul 3, 2024 · RIA to RIA
- Thomas Albert Gruber to Amg Wealth Management LLCMay 31, 2022 · RIA to a state-registered adviser
- Matthew Aaron Treskovich to Flavin Financial Services, Inc.May 31, 2022 · RIA to RIA
- Michael Edward Scott to J. W. Cole Advisors, Inc.Feb 16, 2022 · RIA to RIA
- Adam Michael Gruber to Amg Wealth Management LLCMay 12, 2021 · RIA to a state-registered adviser
- Alex Spencer Bethune to Ernst & Young Investment Advisers LlpAug 26, 2020 · Other
- Holly Day Kelley to Core Wealth Advisors, Inc.Jan 17, 2019 · RIA to RIA
- Michael John Ehlenbeck to Core Wealth Advisors, Inc.Nov 15, 2018 · Other
- Frank Marsh Ashley,III to Ashley Financial Services, PaAug 28, 2014 · Other
Joined, latest
- Richard Andrew Widick from LPL Financial LLCMar 14, 2023 · RIA to RIA
- Derek Hugh Stroud from Morningstar Investment Services LLCNov 17, 2022 · RIA to RIA
- Christopher Lynn Tyndall from Morningstar Investment Services LLCNov 17, 2022 · RIA to RIA
- Larry Keith Tyndall from Morningstar Investment Services LLCNov 17, 2022 · RIA to RIA
- Ryan Patrick Higgins from Raymond James Financial Services Advisors, IncJul 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- Eric J Jackson from Allen & Company Of Florida, LLCMay 17, 2021 · RIA to RIA
- Alex Spencer Bethune from Provise Management Group, LLCJun 8, 2020 · Other
- Thomas Albert Gruber from Sundance Wealth Management Group L.L.C.Feb 21, 2020 · Other
- Shawn Joseph Mccabe from Rse Consulting, LLCJan 2, 2020 · Other
- Patrick Egan Gauthier from Usaa Investment Services CompanyNov 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- Tamara L Jemison from Usaa Investment Services CompanyDec 20, 2018 · Affiliated broker-dealer or bank to independent RIA
- Adam Michael Gruber from Sundance Wealth Management Group L.L.C.Jun 22, 2018 · Other
- Derek Michael Oxford from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 14, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Gragg FinancialDec 16, 2025 · Lakeland, Fl
- 3 joined from Morningstar Investment Services LLCJun 16, 2025 · Goldsboro, Nc
- 2 joined from Sundance Wealth Management Group L.L.C.Mar 26, 2018 · Wesley Chapel, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Bryan Nolen Bailey · Vice President/Secretary/Directorcontrolsince 07/2020 · owns 10% to 25%
- Mario Anthony Corrao · Financial Planning Director/Partnercontrolsince 01/2023 · owns less than 5%
- Ann Leigh Davis · Chief Operating Officercontrolsince 12/2025 · owns less than 5%
- Charles Peter Golotko · President/Directorcontrolsince 01/1998 · owns 50% to 75%
- Marie Erica Lupercio · Brand Director/Partnercontrolsince 01/2023 · owns less than 5%
- Aaron Michael Riskin · Vice President/Treasurer/Directorcontrolsince 07/2017 · owns 25% to 50%
- Mehrizi Leila Shaver · Chief Compliance Officersince 01/2025 · owns less than 5%
Related persons
Schedule D 7.A
- National Advisors Trust Companycustodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lakeland, Fl · principal | 18 | 0 | 2 | 1 | |
| Winterville, Nc | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026DAVIS, LEIGH, ANN (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2023-03-30 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 7,030 to 7,364Mar 28, 2025 to Mar 27, 2026
- Charity clients · 20 to 19Mar 28, 2025 to Mar 27, 2026
- Corporate clients · 36 to 31Mar 28, 2025 to Mar 27, 2026
- HNW clients · 655 to 647Mar 28, 2025 to Mar 27, 2026
- Individual clients · 2,341 to 2,460Mar 28, 2025 to Mar 27, 2026
- Pension plan clients · 224 to 220Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $34.0M to $55.0MMar 28, 2025 to Mar 27, 2026
- Financial planning clients · 1-10 to 0Mar 28, 2025 to Mar 27, 2026
- State-registered IARs · 17 to 15Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.7B to $2.9BMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $1.6B to $1.7BMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $547M to $688MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $37,263 to $5.9MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $316M to $367MMar 28, 2025 to Mar 27, 2026
- RAUM · $2.7B to $2.9BMar 28, 2025 to Mar 27, 2026
- Accounts · 7,120 to 7,030Jul 31, 2024 to Mar 28, 2025
- Advisory employees · 25 to 21Jul 31, 2024 to Mar 28, 2025
- Charity clients · 21 to 20Jul 31, 2024 to Mar 28, 2025
- HNW clients · 678 to 655Jul 31, 2024 to Mar 28, 2025
- Individual clients · 2,372 to 2,341Jul 31, 2024 to Mar 28, 2025
- Pension plan clients · 273 to 224Jul 31, 2024 to Mar 28, 2025
- Pooled vehicle clients · unset to 0.0Jul 31, 2024 to Mar 28, 2025
- Assets in custody · $30.9M to $34.0MJul 31, 2024 to Mar 28, 2025
- Employees · 25 to 60Jul 31, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Jul 31, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.4B to $2.7BJul 31, 2024 to Mar 28, 2025
- HNW RAUM · $1.5B to $1.6BJul 31, 2024 to Mar 28, 2025
- Individual RAUM · $450M to $547MJul 31, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $37,263Jul 31, 2024 to Mar 28, 2025
- Pension RAUM · $266M to $316MJul 31, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · unset to 0.0Jul 31, 2024 to Mar 28, 2025
- RAUM · $2.4B to $2.7BJul 31, 2024 to Mar 28, 2025
- Accounts · 7,080 to 7,120Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 21 to 25Mar 30, 2023 to Mar 28, 2024
- Charity clients · 24 to 21Mar 30, 2023 to Mar 28, 2024
- Corporate clients · 55 to 36Mar 30, 2023 to Mar 28, 2024
- HNW clients · 670 to 678Mar 30, 2023 to Mar 28, 2024
- Individual clients · 2,589 to 2,372Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 170 to 273Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $29.2M to $30.9MMar 30, 2023 to Mar 28, 2024
Signals
16 dated events
- Gary Bryon Gragg left Cps Investment Advisors for Gragg Financial (registered 2025-10-23)Dec 16, 2025 · Advisor changed firm · fact
- Jason Daniel Gragg left Cps Investment Advisors for Gragg Financial (registered 2025-11-04)Dec 16, 2025 · Advisor changed firm · fact
- 2 advisors left Cps Investment Advisors (Lakeland, FL) for Gragg Financial on the same dayDec 16, 2025 · Team lift-out · derived
- 3 advisors left Morningstar Investment Services LLC (Goldsboro, NC) for Cps Investment Advisors on the same dayJun 16, 2025 · Team lift-out · derived
- Richard Andrew Widick left Cps Investment Advisors for Modera Wealth Management, Llc (registered 2025-05-14)Apr 11, 2025 · Advisor changed firm · fact
- Joseph Shawn Mccabe (Cpalliance Director/Partner) no longer on Schedule A of Cps Investment Advisors (listed 2024-04-10, absent 2024-07-19)Jul 19, 2024 · Control person left · inference
- Shawn Joseph Mccabe left Cps Investment Advisors for Gunn & Company Investment Management, Inc. (registered 2024-07-10)Jul 3, 2024 · Advisor changed firm · fact
- Joseph Shawn Mccabe (Cpalliance Director/Partner) appeared on Schedule A of Cps Investment AdvisorsMar 30, 2023 · Control person joined · fact
- Mario Anthony Corrao (Financial Planning Director/Partner) appeared on Schedule A of Cps Investment AdvisorsMar 30, 2023 · Control person joined · fact
- Marie Erica Lupercio (Brand Director/Partner) appeared on Schedule A of Cps Investment AdvisorsMar 30, 2023 · Control person joined · fact
- Thomas Albert Gruber left Cps Investment Advisors for Amg Wealth Management Llc (registered 2022-01-07)May 31, 2022 · Advisor changed firm · fact
- Matthew Aaron Treskovich left Cps Investment Advisors for Flavin Financial Services, Inc. (registered 2022-08-01)May 31, 2022 · Advisor changed firm · fact
- Michael Edward Scott left Cps Investment Advisors for J. W. Cole Advisors, Inc. (registered 2022-01-27)Feb 16, 2022 · Advisor changed firm · fact
- Martin James Luffman (Vice President/Secretary/Director) no longer on Schedule A of Cps Investment Advisors (listed 2021-05-04, absent 2021-09-16)Sep 16, 2021 · Control person left · inference
- Bryan Nolen Bailey (Vice President/Director) appeared on Schedule A of Cps Investment AdvisorsJul 31, 2020 · Control person joined · fact
- Cps Investment Advisors reported RAUM $1.5B, up 26% from $1.2B (2019-11-14 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Smith Chas P & Associates PA CPAS · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- derek@cpsinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- erica@cpsinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sharon@cpsinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 863-688-1725reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-972-5548reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cpalliancereportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/cps-group-cpas-pareportedpublic record, Form ADV, Sep 17, 2026
- Website
- CPSINVEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 863-688-1725reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- cpsinvest.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cpsinvest.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026