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
I••••••••• A••••• A•••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Jun 9, 2020 · 18 filings
SEC status approved since Jul 21, 2020
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$0 as of Mar 9, 2026
Jan 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 9, 2026
Mar 25, 20213 then
Employees (5.A)3 as of Mar 9, 2026
Mar 25, 20213 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S• W••••••••• | Orlando, Fl | Jul 22, 2015 | 30 y | 3 |
| M•••••• E••••• L•••••• | Orlando, Fl | Aug 11, 2016 | 13 y | 1 |
| R•••••• W•••• | Orlando, Fl | Feb 1, 2018 | 30 y | 3 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• E••••• R•••••• · Ceo / Presidentcontrolsince 04/2008 · owns less than 5%
- L••••••• M•••••• E••••• · Executive Vice President/Chief Operating Officercontrolsince 01/2020 · owns less than 5%
- M••••• A•• K•••••••• · Chief Business Development Officercontrolsince 06/2014 · owns less than 5%
- W••••••••• D•••• S• · Registered Options Principal / Chief Financial Officer / Chief Regulatory Officercontrolsince 01/2020 · owns less than 5%
- N••••••••• M••• P••••• · Chief Legal Officer, Chief Risk Officersince 12/2017 · owns less than 5%
- W••••• R•••••• J•• · Chief Compliance Officer, Chief Aml Ccosince 01/2018 · owns less than 5%
Entity owners
- P•••••• M••••••••• L•• · Ownerdirect · owns 75% or more
- I•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of P•••••• M••••••••• L••
- R•• H•••••• C••••••• L•• · Memberindirect · owns 75% or more of I•• I••••••••• H•••••••• L••
- R•••••• D••••• I••••••••• 2••• S•••• D••••• T•••• F•• O• J•••••• D••••• A•• R•••••• A• D••••• · Memberindirect · owns 75% or more of Ria Holding Company LLC
- S•••• D••••• T•••• C••••••• L•• · Trusteeindirect · owns F of R•••••• D••••• I••••••••• 2••• S•••• D••••• T•••• F•• O• J•••••• D••••• A•• R•••••• A• D•••••
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orlando, Fl · principal | 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
- affiliate changedChange between filings · filing Mar 9, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-02-27, yes on the filing of 2026-03-09peers: other advisers, under $100M (671)
What changed
consecutive filings, newest first
- Related broker-dealer · false to trueFeb 27, 2025 to Mar 9, 2026
- Financial planning clients · unset to Jan 31, 2025 to Feb 27, 2025
- Accounts · unset to 0.0Mar 7, 2024 to Jan 31, 2025
- Discretionary RAUM · unset to 0.0Mar 7, 2024 to Jan 31, 2025
- Non-discretionary RAUM · unset to 0.0Mar 7, 2024 to Jan 31, 2025
- RAUM · unset to 0.0Mar 7, 2024 to Jan 31, 2025
Signals
1 dated events
- I••••••••• A••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 9, 2020 · 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
- Website
- i•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-254-1500reportedpublic record, Form ADV, Mar 9, 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
- No RAUM reportedderiveda 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
Across the graphs
I••••••••• A••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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