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
B••• O•••• C••••••
Legal name C•• A•••• M••••••••• G••••• L••
Latest filing Feb 17, 2026
First filing on the tape Mar 29, 2012 · 30 filings
SEC status approved since Jun 22, 2000
RAUM
$619M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$550M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$619M as of Feb 17, 2026
Mar 29, 2012$307M then
HNW client RAUM$527M as of Feb 17, 2026
Mar 29, 2018$413M then
State-registered IARs (5.B.3)5 as of Feb 17, 2026
Mar 22, 20134 then
Employees (5.A)11 as of Feb 17, 2026
Mar 22, 20135 then
Private funds: no history
RAUM +20% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $258M, 95 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 has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$527M85%
- Corporations and businesses$61.5M9.9%
- Individuals$23.5M3.8%
- Charitable organizations$7.6M1.2%
- Individual clients
- 64reported
- HNW clients
- 84reported
- Pension plan clients
- 0reported
- Charitable clients
- 9reported
- Accounts
- 491reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $258M for 95 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• B•••••• E•••••• | West Palm Beach, Fl | Oct 20, 1997 | 29 y | 0 |
| R••••• G•••••• S•••• | West Palm Beach, Fl | Jan 2, 2002 | 28 y | 0 |
| J•••• W••••• J••••••Certified Financial Planner | West Palm Beach, Fl | Mar 6, 2003 | 24 y | 0 |
| H•••••• K••••••• K•••••Certified Financial Planner | West Palm Beach, Fl | Dec 7, 2016 | 13 y | 0 |
| B•••••• A•••• E••••Certified Financial Planner | West Palm Beach, Fl | Apr 25, 2025 | 16 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• M•••• B•••••• · President/Secretary/Managing Membercontrolsince 04/2002 · owns 50% to 75%
- S••••• R•••••• G•••••• · Vice President/Managing Membercontrolsince 02/2007 · owns 25% to 50%
- K•••••• H••••••• K••••••• · Chief Compliance Officersince 01/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| West Palm Beach, Fl · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 468 to 491Oct 30, 2025 to Feb 17, 2026
- Corporate clients · 12 to 11Oct 30, 2025 to Feb 17, 2026
- HNW clients · 78 to 84Oct 30, 2025 to Feb 17, 2026
- Individual clients · 69 to 64Oct 30, 2025 to Feb 17, 2026
- Assets in custody · $245M to $258MOct 30, 2025 to Feb 17, 2026
- Discretionary RAUM · $517M to $619MOct 30, 2025 to Feb 17, 2026
- HNW RAUM · $442M to $527MOct 30, 2025 to Feb 17, 2026
- Individual RAUM · $20.2M to $23.5MOct 30, 2025 to Feb 17, 2026
- RAUM · $517M to $619MOct 30, 2025 to Feb 17, 2026
- Financial planning clients · 1-10 to 1-10May 30, 2025 to Jul 1, 2025
- Accounts · 458 to 468Feb 14, 2024 to Mar 10, 2025
- Advisory employees · 4 to 5Feb 14, 2024 to Mar 10, 2025
- HNW clients · 76 to 78Feb 14, 2024 to Mar 10, 2025
- Individual clients · 73 to 69Feb 14, 2024 to Mar 10, 2025
- Assets in custody · $425M to $245MFeb 14, 2024 to Mar 10, 2025
- Employees · 14 to 11Feb 14, 2024 to Mar 10, 2025
- Financial planning clients · 11-25 to 1-10Feb 14, 2024 to Mar 10, 2025
- State-registered IARs · 4 to 5Feb 14, 2024 to Mar 10, 2025
- Discretionary RAUM · $498M to $517MFeb 14, 2024 to Mar 10, 2025
- HNW RAUM · $425M to $442MFeb 14, 2024 to Mar 10, 2025
- Individual RAUM · $21.6M to $20.2MFeb 14, 2024 to Mar 10, 2025
- RAUM · $498M to $517MFeb 14, 2024 to Mar 10, 2025
- Accounts · 446 to 458Mar 1, 2023 to Feb 9, 2024
- HNW clients · 69 to 76Mar 1, 2023 to Feb 9, 2024
- Individual clients · 78 to 73Mar 1, 2023 to Feb 9, 2024
- Assets in custody · $427M to $425MMar 1, 2023 to Feb 9, 2024
- Employees · 13 to 14Mar 1, 2023 to Feb 9, 2024
- Discretionary RAUM · $457M to $498MMar 1, 2023 to Feb 9, 2024
- HNW RAUM · $385M to $425MMar 1, 2023 to Feb 9, 2024
- Individual RAUM · $23.6M to $21.6MMar 1, 2023 to Feb 9, 2024
- RAUM · $457M to $498MMar 1, 2023 to Feb 9, 2024
- Accounts · 457 to 446Feb 15, 2022 to Mar 1, 2023
- HNW clients · 76 to 69Feb 15, 2022 to Mar 1, 2023
- Individual clients · 74 to 78Feb 15, 2022 to Mar 1, 2023
- Assets in custody · $344M to $427MFeb 15, 2022 to Mar 1, 2023
- Employees · 6 to 13Feb 15, 2022 to Mar 1, 2023
- Discretionary RAUM · $568M to $457MFeb 15, 2022 to Mar 1, 2023
- HNW RAUM · $487M to $385MFeb 15, 2022 to Mar 1, 2023
- Individual RAUM · $25.4M to $23.6MFeb 15, 2022 to Mar 1, 2023
- RAUM · $568M to $457MFeb 15, 2022 to Mar 1, 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
- 561-659-3301reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 561-659-3609reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- blueoceancpa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-659-3301reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- blueoceancpa.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- blueoceancpa.com/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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026