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
C••••••••• A•••••••
Legal name C••••••••• A•••••••• L••
Latest filing Feb 2, 2026
First filing on the tape Mar 21, 2012 · 91 filings
SEC status approved since Feb 27, 1998
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
53%
$1.7B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$201M
derived; firm RAUM over IAPD count
Employees
36
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
91 filings and snapshots on the tape
RAUM$3.2B as of Feb 2, 2026
Mar 21, 2012$1.9B then
HNW client RAUM$718M as of Feb 2, 2026
Mar 29, 2018$1.8B then
State-registered IARs (5.B.3)18 as of Feb 2, 2026
Mar 11, 20138 then
Employees (5.A)36 as of Feb 2, 2026
Mar 11, 201318 then
Private funds: no history
RAUM -3.9% over the last fiscal year-1.6% a year over threeIARs 19 to 18
Practice profile
derived from the filing of Feb 2, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• 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
- $201MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 16.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -43%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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
- Individuals$993M49%
- High-net-worth individuals$718M35%
- Corporations and businesses$141M6.9%
- State and municipal entities$65.6M3.2%
- Charitable organizations$65.4M3.2%
- Pension and profit-sharing plans$50.1M2.5%
- Insurance companies$4.1M0.2%
- Pooled investment vehicles$2.7M0.1%
- Individual clients
- 885reported
- HNW clients
- 206reported
- Pension plan clients
- 8reported
- Charitable clients
- 11reported
- Accounts
- 2,349reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $1.5B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.53 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R••••• M•••••••Chartered Financial Analyst | Sarasota, Fl | Jan 10, 2001 | 41 y | 1 |
| M•••••• C•••• M•••••• | Sarasota, Fl | Feb 24, 2014 | 32 y | 3 |
| S•••• M•••••• B•••••• | Sarasota, Fl | Jun 20, 2014 | 13 y | 0 |
| D•••• M•••• J•••••• | Sarasota, Fl | Sep 26, 2014 | 18 y | 0 |
| D••••• T••• H••••••••• | Sarasota, Fl | Oct 13, 2014 | 13 y | 0 |
| M•••••• G•• B•••••••Chartered Financial Analyst | Sarasota, Fl | Nov 17, 2016 | 36 y | 3 |
| M•••••• D••••• M•••••• | Sarasota, Fl | Feb 10, 2020 | 17 y | 0 |
| M••• J•••• M•••• | Sarasota, Fl | Jul 7, 2020 | 19 y | 1 |
| B••••••• C••••• P•••• | Sarasota, Fl | Mar 20, 2024 | 26 y | 0 |
| M•••••• K•••••• S•••••• | Sarasota, Fl | Jul 10, 2024 | 26 y | 0 |
| A••••• M•••••• H••••••••• | Sarasota, Fl | Dec 5, 2024 | 12 y | 0 |
| P••••••• M••• H••••Chartered Financial Analyst | Sarasota, Fl | Jan 1, 2025 | 39 y | 0 |
| I•• G•••• B•••• | Sarasota, Fl | Jun 2, 2025 | 32 y | 2 |
| R••••• K•••••••••Certified Financial Planner | Sarasota, Fl | Jun 16, 2025 | 13 y | 1 |
| K•••• K•••••••• | Westlake Village, Ca | Sep 23, 2025 | 34 y | 4 |
| L••• M• C•••••• | Basking Ridge, Nj | Sep 10, 2026 | 13 y | 1 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 6.3% of current headcount2 left over 36 months
Left, latest
- S••••• E•••• F••••••••• to P••••••Mar 6, 2026 · Other
- T••• E•••• E••••••••• to F• L• P••••• I••••••••• M••••••••• C••May 27, 2025 · RIA to RIA
- L•••• M••••• to S•••••••• W••••• M••••••••• L••Nov 2, 2017 · RIA to RIA
- N••••••• L•••• S••• to G••••• F•••••••• P•••••• C••••••• I•••May 26, 2016 · Other
- C•••• A•• M•••••• to C•••• I••••••••• S••••••• C••••Jan 16, 2009 · Other
- C•••••••• E•••••••• W••••• to I••• F•••••••• S••••••• C•••••••••Apr 2, 2004 · Other
Joined, latest
- L••• M• C•••••• from M••••• S••••••Sep 10, 2026 · Wirehouse to independent RIA
- S••••• E•••• F••••••••• from A••••••• A•••• M••••••••• I•••Sep 24, 2025 · Other
- K•••• K•••••••• from H•••••• • W•••• A•••• M••••••••• I•••Sep 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• K••••••••• from W••••• E••••••••• A••••••• S•••••••• L••Jun 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- I•• G•••• B•••• from E•••• V•••• M•••••••••Jun 2, 2025 · Other
- T••• E•••• E••••••••• from W•••• F•••• A•••••••Nov 15, 2019 · Wirehouse to independent RIA
- L•••• M••••• from A• N•• A••••••• F•••••••• P•••••••Dec 19, 2016 · Other
- M•••••• G•• B••••••• from S•• W•••••Nov 17, 2016 · Other
- M•••••• C•••• M•••••• from P•••••••• C•••••• M••••••••• L••Feb 24, 2014 · Other
- N••••••• L•••• S••• from M••••• S••••••Feb 20, 2013 · Other
- C•••• A•• M•••••• from I••••••••• P•••••••• C••••••••• I•••Jun 21, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• M••••••• N• M••••• N••• · Sr. Vice President, Shareholdercontrolsince 03/2005 · owns less than 5%
- E••••••••• R•••••• A•••• · Vice Chairman, Director, Shareholdercontrolsince 01/2011 · owns 5% to 10%
- J••••••• D••••• M•••• · Managing Director Of Operations & Itcontrolsince 01/2026 · owns less than 5%
- K••••• D••••• R•••••• · Cio, Director & Shareholdercontrolsince 04/2018 · owns 5% to 10%
- L••••• D••••• G••••• · Executive Vice President, Director, Shareholdercontrolsince 04/2018 · owns 10% to 25%
- L•••• T••••••• J•••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- M••••••• M••••••• C•••• · President, Director, Shareholdercontrolsince 04/2018 · owns less than 5%
- M••••••• M••••••• D••••• · Sr. Vice President, Shareholdercontrolsince 04/2018 · owns less than 5%
- M•••••••• J•••• R••••• · Chief Investment Officercontrolsince 01/2025 · owns less than 5%
- M••••• M•••• J•••• · Chief Operating Officer Wealth Managementcontrolsince 01/2026 · owns less than 5%
- P••••• B•••••••• C••••• · President Of Asset Managementcontrolsince 01/2026 · owns less than 5%
- S•••••• P••••••• A•• · Treasurer, Chief Financial Officercontrolsince 04/2018 · owns less than 5%
- C••••••• G•••••• · Chief Compliance Officersince 04/2025 · owns less than 5%
- D•••••• L•••••••• E••••• · Director, Shareholdersince 04/2018 · owns 5% to 10%
- H••••• P•••••••• M••• · Sr Vice President, Shareholdersince 04/2018 · owns less than 5%
- M•••••• J•••••• I•••• · Director, Shareholdersince 04/2018 · owns 10% to 25%
- S•••••• D••••• E•••••• · Chairman, Shareholdersince 04/2018 · 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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 15 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
13 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 2, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $3,348,228,828 to $3,217,125,317, advisors 19 to 18, private clients 1909 to 1091, offices 0 to 0 (2025-04-11 to 2026-02-02)peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 2, 2026E••••••••• M••••••• N• M••••• N••• (SR. VICE PRESIDENT, SHAREHOLDER) left Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 2, 2026K••••• D••••• R•••••• (CIO, DIRECTOR & SHAREHOLDER) left Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 2, 2026M••••••• M••••••• C•••• (PRESIDENT, DIRECTOR, SHAREHOLDER) left Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- client mix shiftChange between filings · filing Feb 2, 2026private-client share of RAUM moved from 74.0% to 53.0% between the annual amendments of 2025-04-11 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 2, 2026J••••••• D••••• M•••• (MANAGING DIRECTOR OF OPERATIONS & IT) appeared on Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 2, 2026E••••••••• R•••••• A•••• (VICE CHAIRMAN, DIRECTOR, SHAREHOLDER) left Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 2, 2026M••••••• M••••••• D••••• (SR. VICE PRESIDENT, SHAREHOLDER) left Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 2, 2026L••••• D••••• G••••• (EXECUTIVE VICE PRESIDENT, DIRECTOR, SHAREHOLDER) left Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Feb 2, 2026institutional share of RAUM moved from 26.0% to 10.0% between the annual amendments of 2025-04-11 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- client count collapseChange between filings · filing Feb 2, 2026individual and HNW clients (Item 5.D) moved from 1,909.0 to 1,091.0 (-43.0%) between the annual amendments of 2025-04-11 and 2026-02-02; the peer median change was +5.0% (1132 comparable advisers, 1.0th percentile of changes)peers: WEALTH_I•••••••••, $1B to $5B (1,132) · 1.3% percentile
- control person changedChange between filings · filing Feb 2, 2026L•••• T••••••• J•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-10-04 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Feb 2, 2026HNW share of RAUM moved from 49.0% to 22.0% between the annual amendments of 2025-04-11 and 2026-02-02peers: WEALTH_I•••••••••, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,550 to 2,349Apr 11, 2025 to Jan 28, 2026
- Charity clients · 32 to 11Apr 11, 2025 to Jan 28, 2026
- Corporate clients · 102 to 13Apr 11, 2025 to Jan 28, 2026
- HNW clients · 685 to 206Apr 11, 2025 to Jan 28, 2026
- Individual clients · 1,224 to 885Apr 11, 2025 to Jan 28, 2026
- Pension plan clients · 14 to 8Apr 11, 2025 to Jan 28, 2026
- Employees · 44 to 36Apr 11, 2025 to Jan 28, 2026
- Financial planning clients · 0 to 11-25Apr 11, 2025 to Jan 28, 2026
- State-registered IARs · 19 to 18Apr 11, 2025 to Jan 28, 2026
- Legal name · C••••••••• A••••••• INC to C••••••••• A•••••••, LLCApr 11, 2025 to Jan 28, 2026
- Organization form · Corporation to Limited Liability CompanyApr 11, 2025 to Jan 28, 2026
- Discretionary RAUM · $3.3B to $3.2BApr 11, 2025 to Jan 28, 2026
- HNW RAUM · $1.6B to $718MApr 11, 2025 to Jan 28, 2026
- Individual RAUM · $848M to $993MApr 11, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $12.9M to $8.8MApr 11, 2025 to Jan 28, 2026
- Pension RAUM · $50.2M to $50.1MApr 11, 2025 to Jan 28, 2026
- Pooled vehicle RAUM · $2.4M to $2.7MApr 11, 2025 to Jan 28, 2026
- RAUM · $3.3B to $3.2BApr 11, 2025 to Jan 28, 2026
- Wrap assets (manager) · $1.5B to $1.5BApr 11, 2025 to Jan 28, 2026
- Financial planning clients · 0 to 0Mar 4, 2025 to Apr 11, 2025
- Accounts · 2,608 to 2,550Mar 22, 2024 to Jan 31, 2025
- Advisory employees · 16 to 18Mar 22, 2024 to Jan 31, 2025
- Charity clients · 35 to 32Mar 22, 2024 to Jan 31, 2025
- Corporate clients · 116 to 102Mar 22, 2024 to Jan 31, 2025
- HNW clients · 719 to 685Mar 22, 2024 to Jan 31, 2025
- Individual clients · 1,230 to 1,224Mar 22, 2024 to Jan 31, 2025
- Pension plan clients · 18 to 14Mar 22, 2024 to Jan 31, 2025
- Discretionary RAUM · $3.4B to $3.3BMar 22, 2024 to Jan 31, 2025
- HNW RAUM · $1.7B to $1.6BMar 22, 2024 to Jan 31, 2025
- Individual RAUM · $810M to $848MMar 22, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $13.1M to $12.9MMar 22, 2024 to Jan 31, 2025
- Pension RAUM · $58.4M to $50.2MMar 22, 2024 to Jan 31, 2025
- Pooled vehicle RAUM · $2.1M to $2.4MMar 22, 2024 to Jan 31, 2025
- RAUM · $3.4B to $3.3BMar 22, 2024 to Jan 31, 2025
- Accounts · 2,914 to 2,608Oct 4, 2023 to Mar 22, 2024
- Advisory employees · 19 to 16Oct 4, 2023 to Mar 22, 2024
- Advisory activities · 5 to 6Oct 4, 2023 to Mar 22, 2024
- Charity clients · 56 to 35Oct 4, 2023 to Mar 22, 2024
- Corporate clients · 145 to 116Oct 4, 2023 to Mar 22, 2024
- HNW clients · 1,210 to 719Oct 4, 2023 to Mar 22, 2024
Signals
6 dated events
- S••••• E•••• F••••••••• left C••••••••• A••••••• for Potomac (registered 2026-04-01)Mar 6, 2026 · Advisor changed firm · fact
- T••• E•••• E••••••••• left C••••••••• A••••••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2025-06-20)May 27, 2025 · Advisor changed firm · fact
- Curtis Benjamin Pease (Managing Director - Fixed Income & Chief Innovation Officer) appeared on Schedule A of C••••••••• A•••••••Oct 4, 2023 · Control person joined · fact
- Lee Donna Sooy (Sr. Vice President, Shareholder) no longer on Schedule A of C••••••••• A••••••• (listed 2023-08-22, absent 2023-10-03)Oct 3, 2023 · Control person left · inference
- James Mark Myers (Chief Operating Officer) appeared on Schedule A of C••••••••• A•••••••Aug 2, 2022 · Control person joined · fact
- C••••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 23, 2018 · Succession (Item 4) · 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
- Firm profile
- linkedin.com/company/cumberlandadvreportedpublic record, Form ADV, Sep 18, 2026
- Website
- bingplaces.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-257-7013reportedpublic record, Form ADV, Feb 2, 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
- $201Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026