DFX Intelligence
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D•••••• C•••••• M••••••••• I••
Wealth manager with institutional or fund business, based in Jacksonville, Florida, reporting $295M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $295M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.5%
- Private clients
- 20% of RAUM, $60.0M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 106262 · SEC 801-10647 · 20 filingsShowHide
CRD 106262SEC 801-10647First filing on the tape Feb 28, 2012, latest Mar 16, 2026SEC status approved since Mar 21, 1975IAPD
RAUM
$295M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$60.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$98.4M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$295M as of Mar 16, 2026
Feb 28, 2012$209M then
HNW client RAUM$41.9M as of Mar 16, 2026
Mar 1, 2018$34.3M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 11, 20132 then
Employees (5.A)4 as of Mar 16, 2026
Mar 11, 20135 then
Private funds: no history
RAUM +4.5% over the last fiscal year+5.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $98.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$234M79%
- High-net-worth individuals$41.9M14%
- Individuals$18.1M6.1%
- Pension and profit-sharing plans$1.3M0.4%
- Individual clients
- 89reported
- HNW clients
- 19reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 279reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.2 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A•••••••• D••••••Certified Financial Planner | Jacksonville, Fl | Jan 26, 2022 | 12 y | 1 |
| C••••••••• D•••••• | Jacksonville, Fl | Nov 29, 2025 | 36 y | 0 |
| J•••• D•••••• | Jacksonville, Fl | Dec 3, 2025 | 33 y | 0 |
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
none on the tape
Joined, latest
- J•••• A•••••••• D•••••• from R•••••• J•••• • A••••••••• I•••Jan 26, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••••••• · Ceo/Chief Investment Officercontrolsince 12/2007 · owns 25% to 50%
- D••••••• J•••• · Chief Compliance Officercontrolsince 10/2004 · owns 25% to 50%
- D••••••• J••••• A•••••••• · Executive Vice-Presidentcontrolsince 01/2022 · 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 |
|---|---|---|---|---|---|
| Jacksonville, Fl · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 314 to 279Jan 8, 2026 to Mar 16, 2026
- Corporate clients · 2 to 1Jan 8, 2026 to Mar 16, 2026
- Individual clients · 102 to 89Jan 8, 2026 to Mar 16, 2026
- Pension plan clients · 5 to 3Jan 8, 2026 to Mar 16, 2026
- Discretionary RAUM · $282M to $295MJan 8, 2026 to Mar 16, 2026
- HNW RAUM · $46.1M to $41.9MJan 8, 2026 to Mar 16, 2026
- Individual RAUM · $18.7M to $18.1MJan 8, 2026 to Mar 16, 2026
- Non-discretionary RAUM · $762,592 to $0Jan 8, 2026 to Mar 16, 2026
- Pension RAUM · $1.0M to $1.3MJan 8, 2026 to Mar 16, 2026
- RAUM · $282M to $295MJan 8, 2026 to Mar 16, 2026
- Accounts · 190 to 314Feb 27, 2024 to Mar 5, 2025
- Corporate clients · unset to 2.0Feb 27, 2024 to Mar 5, 2025
- HNW clients · 25 to 19Feb 27, 2024 to Mar 5, 2025
- Individual clients · 86 to 102Feb 27, 2024 to Mar 5, 2025
- Pension plan clients · unset to 5.0Feb 27, 2024 to Mar 5, 2025
- Financial planning clients · 51-100 to 51-100Feb 27, 2024 to Mar 5, 2025
- Discretionary RAUM · $271M to $282MFeb 27, 2024 to Mar 5, 2025
- HNW RAUM · $43.6M to $46.1MFeb 27, 2024 to Mar 5, 2025
- Individual RAUM · $13.5M to $18.7MFeb 27, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $733,549 to $762,592Feb 27, 2024 to Mar 5, 2025
- Pension RAUM · $680,652 to $1.0MFeb 27, 2024 to Mar 5, 2025
- RAUM · $272M to $282MFeb 27, 2024 to Mar 5, 2025
- Accounts · 238 to 190Mar 14, 2023 to Feb 27, 2024
- HNW clients · 16 to 25Mar 14, 2023 to Feb 27, 2024
- Individual clients · 98 to 86Mar 14, 2023 to Feb 27, 2024
- Discretionary RAUM · $252M to $271MMar 14, 2023 to Feb 27, 2024
- HNW RAUM · $37.2M to $43.6MMar 14, 2023 to Feb 27, 2024
- Individual RAUM · $13.1M to $13.5MMar 14, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $639,904 to $733,549Mar 14, 2023 to Feb 27, 2024
- Pension RAUM · $473,516 to $680,652Mar 14, 2023 to Feb 27, 2024
- RAUM · $253M to $272MMar 14, 2023 to Feb 27, 2024
- Accounts · 44 to 238Mar 1, 2022 to Mar 14, 2023
- Advisory employees · 2 to 3Mar 1, 2022 to Mar 14, 2023
- Corporate clients · 8.0 to unsetMar 1, 2022 to Mar 14, 2023
- HNW clients · 19 to 16Mar 1, 2022 to Mar 14, 2023
- Individual clients · 16 to 98Mar 1, 2022 to Mar 14, 2023
- Employees · 3 to 4Mar 1, 2022 to Mar 14, 2023
- Financial planning clients · 0 to 51-100Mar 1, 2022 to Mar 14, 2023
- State-registered IARs · 2 to 3Mar 1, 2022 to Mar 14, 2023
- Discretionary RAUM · $274M to $252MMar 1, 2022 to Mar 14, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- ••• Lockedreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $98.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026