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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Former SEC-registered adviser

Z•• I••••••••• M••••••••• I••

Former SEC-registered adviserOrange City, FloridaCRD 105587SEC 801-66411IAPD
Latest filing Mar 28, 2019
First filing on the tape Dec 16, 2011 · 34 filings
RAUM
$97.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$61.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$97.1M as of Mar 28, 2019
Mar 22, 2012$125M then
HNW client RAUM$50.2M as of Mar 28, 2019
Mar 26, 2018$73.8M then
State-registered IARs (5.B.3)1 as of Mar 28, 2019
Feb 20, 20131 then
Employees (5.A)8 as of Mar 28, 2019
Feb 20, 20138 then
Private funds: no history
RAUM -32% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
$97.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$808,975derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-32%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.9%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$50.2M53%
  • Pension and profit-sharing plans$25.7M27%
  • Individuals$11.3M12%
  • Charitable organizations$6.2M6.6%
  • Corporations and businesses$632,6520.7%
Individual clients
30reported
HNW clients
34reported
Pension plan clients
5reported
Charitable clients
2reported
Accounts
120reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Z••••••••• M•••• D•••• · President And Chief Compliance Officercontrol
      since 10/2011 · owns 75% or more
    • F••• R•••• A•• · Vice President/Secretary
      since 07/1994 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 134 to 120
      Mar 26, 2018 to Mar 28, 2019
    • Advisory employees · 7 to 8
      Mar 26, 2018 to Mar 28, 2019
    • HNW clients · 38 to 34
      Mar 26, 2018 to Mar 28, 2019
    • Employees · 7 to 8
      Mar 26, 2018 to Mar 28, 2019
    • Discretionary RAUM · $143M to $97.1M
      Mar 26, 2018 to Mar 28, 2019
    • HNW RAUM · $73.8M to $50.2M
      Mar 26, 2018 to Mar 28, 2019
    • Individual RAUM · $16.3M to $11.3M
      Mar 26, 2018 to Mar 28, 2019
    • Pension RAUM · $37.9M to $25.7M
      Mar 26, 2018 to Mar 28, 2019
    • RAUM · $143M to $97.1M
      Mar 26, 2018 to Mar 28, 2019
    • Accounts · 113 to 134
      Feb 16, 2018 to Mar 26, 2018
    • Charity clients · 0 to 2
      Feb 16, 2018 to Mar 26, 2018
    • Corporate clients · 0 to 1
      Feb 16, 2018 to Mar 26, 2018
    • HNW clients · 0 to 38
      Feb 16, 2018 to Mar 26, 2018
    • Individual clients · 0 to 30
      Feb 16, 2018 to Mar 26, 2018
    • Pension plan clients · 0 to 5
      Feb 16, 2018 to Mar 26, 2018
    • Discretionary RAUM · $123M to $143M
      Feb 16, 2018 to Mar 26, 2018
    • HNW RAUM · $0 to $73.8M
      Feb 16, 2018 to Mar 26, 2018
    • Individual RAUM · $0 to $16.3M
      Feb 16, 2018 to Mar 26, 2018
    • Pension RAUM · $0 to $37.9M
      Feb 16, 2018 to Mar 26, 2018
    • RAUM · $123M to $143M
      Feb 16, 2018 to Mar 26, 2018
    • Charity clients · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Corporate clients · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • HNW clients · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Individual clients · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Pension plan clients · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Pooled vehicle clients · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Other offices · unset to 1.0
      Jul 31, 2017 to Oct 13, 2017
    • HNW RAUM · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Individual RAUM · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Pension RAUM · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Pooled vehicle RAUM · unset to 0.0
      Jul 31, 2017 to Oct 13, 2017
    • Accounts · 118 to 113
      Sep 16, 2016 to Mar 16, 2017
    • Discretionary RAUM · $116M to $123M
      Sep 16, 2016 to Mar 16, 2017
    • RAUM · $116M to $123M
      Sep 16, 2016 to Mar 16, 2017
    • Accounts · 132 to 118
      Apr 13, 2016 to Jul 7, 2016
    • Discretionary RAUM · $152M to $116M
      Apr 13, 2016 to Jul 7, 2016
    • RAUM · $152M to $116M
      Apr 13, 2016 to Jul 7, 2016
    • Accounts · 107 to 132
      Nov 25, 2015 to Mar 17, 2016
    • Advisory employees · 8 to 7
      Nov 25, 2015 to Mar 17, 2016
    • Employees · 8 to 7
      Nov 25, 2015 to Mar 17, 2016
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026