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.
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SEC-registered adviser
N••••••• A•••• M••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Feb 8, 2012 · 13 filings
SEC status approved since Apr 25, 2024
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$103M as of Mar 30, 2026
Feb 8, 2012$34.2M then
HNW client RAUM$56.6M as of Mar 30, 2026
Mar 5, 2025$79.7M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 5, 20253 then
Employees (5.A)1 as of Mar 30, 2026
Mar 5, 20253 then
Private funds: no history
RAUM -0.1% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Mar 30, 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
- $34.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $206,867derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$56.6M55%
- Individuals$46.2M45%
- Individual clients
- 202reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 497reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• A•••• H•••••Certified Financial Planner, Chartered Financial Consultant | The Villages, Fl | Nov 21, 2000 | 48 y | 1 |
| J••• A••••• S•••••• | Lansdale, Pa | Apr 2, 2013 | 27 y | 5 |
| J••••••• M•••••• L••••••• | The Villages, Fl | Jan 9, 2024 | 11 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A••• D•••• L•••••• to P••••••• F•••••••• S•••••••• I•••Apr 1, 2008 · Other
- M•••••• P•••••• B••••• to P••••••• F•••••••• S•••••••• I•••Apr 1, 2008 · Other
Joined, latest
- J••• A••••• S•••••• from G••••• S••••••••• I•••Apr 2, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• R••••• A•••• · President/Ceo/Chief Compliance Officercontrolsince 10/1977 · owns 75% or more
- B•••••• A••• E•••••••• · Ownersince 12/2016 · owns 10% to 25%
- H•••••• S•••••• A••• · Vice President/Secretarysince 10/1977 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Villages, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Gainesville, FL1 employees
- Maitland, FL1 employees
- Pine River, MN1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 251.0 to 497.0 (+98.0%) between the annual amendments of 2025-04-09 and 2026-03-30; the peer median change was +5.0% (3686 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 98% percentile
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 77.0% to 55.0% between the annual amendments of 2025-04-09 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 251 to 497Apr 9, 2025 to Mar 30, 2026
- Advisory employees · 2 to 1Apr 9, 2025 to Mar 30, 2026
- BD registered reps · 2 to 1Apr 9, 2025 to Mar 30, 2026
- HNW clients · 102 to 43Apr 9, 2025 to Mar 30, 2026
- Individual clients · 149 to 202Apr 9, 2025 to Mar 30, 2026
- Employees · 3 to 1Apr 9, 2025 to Mar 30, 2026
- Insurance-licensed employees · 2 to 0Apr 9, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 0Apr 9, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 1Apr 9, 2025 to Mar 30, 2026
- Discretionary RAUM · $103M to $103MApr 9, 2025 to Mar 30, 2026
- HNW RAUM · $79.7M to $56.6MApr 9, 2025 to Mar 30, 2026
- Individual RAUM · $23.2M to $46.2MApr 9, 2025 to Mar 30, 2026
- RAUM · $103M to $103MApr 9, 2025 to Mar 30, 2026
- Related adviser · false to trueApr 9, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Mar 5, 2025 to Apr 9, 2025
- Accounts · 278 to 251Nov 6, 2024 to Mar 5, 2025
- Advisory employees · 3 to 2Nov 6, 2024 to Mar 5, 2025
- BD registered reps · 3 to 2Nov 6, 2024 to Mar 5, 2025
- HNW clients · 138 to 102Nov 6, 2024 to Mar 5, 2025
- Individual clients · 140 to 149Nov 6, 2024 to Mar 5, 2025
- Employees · 4 to 3Nov 6, 2024 to Mar 5, 2025
- Insurance-licensed employees · 1 to 2Nov 6, 2024 to Mar 5, 2025
- Financial planning clients · 51-100 to 1-10Nov 6, 2024 to Mar 5, 2025
- HQ city · unset to Nov 6, 2024 to Mar 5, 2025
- HQ state · unset to Nov 6, 2024 to Mar 5, 2025
- State-registered IARs · 2 to 3Nov 6, 2024 to Mar 5, 2025
- Other offices · 5 to 4Nov 6, 2024 to Mar 5, 2025
- Discretionary RAUM · $106M to $103MNov 6, 2024 to Mar 5, 2025
- HNW RAUM · $83.2M to $79.7MNov 6, 2024 to Mar 5, 2025
- Individual RAUM · $22.6M to $23.2MNov 6, 2024 to Mar 5, 2025
- RAUM · $106M to $103MNov 6, 2024 to Mar 5, 2025
- Accounts · 286 to 278Feb 8, 2012 to Mar 20, 2024
- Advisory employees · unset to 3.0Feb 8, 2012 to Mar 20, 2024
- Advisory activities · 4 to 5Feb 8, 2012 to Mar 20, 2024
- BD registered reps · unset to 3.0Feb 8, 2012 to Mar 20, 2024
- Charity clients · unset to 0.0Feb 8, 2012 to Mar 20, 2024
- Corporate clients · unset to 0.0Feb 8, 2012 to Mar 20, 2024
- HNW clients · unset to 138.0Feb 8, 2012 to Mar 20, 2024
- Individual clients · unset to 140.0Feb 8, 2012 to Mar 20, 2024
- Pension plan clients · unset to 0.0Feb 8, 2012 to Mar 20, 2024
Signals
1 dated events
- N••••••• A•••• M••••••••• I•• filed its initial SEC registration (Form ADV)Mar 20, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- fladmin@nwam.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- pprimus@nwam.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-368-8681reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-896-2511reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 352-268-2080reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- NWAM.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 352 268 2080reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- nwam.net/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $34.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026