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
P•••••••• A•••• M••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 16 filings
SEC status approved since Apr 27, 1982
RAUM
$284M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$279M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$142M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$284M as of Mar 27, 2026
Mar 29, 2012$172M then
HNW client RAUM$225M as of Mar 27, 2026
Mar 28, 2018$163M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 28, 20133 then
Employees (5.A)4 as of Mar 27, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +4.5% over the last fiscal year+4.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- -1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$225M79%
- Individuals$54.3M19%
- Charitable organizations$4.9M1.7%
- Pension and profit-sharing plans$185,0820.1%
- Individual clients
- 108reported
- HNW clients
- 77reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 190reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.2M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• R••••• C••••••Certified Financial Planner, Chartered Financial Analyst | Bradenton, Fl | May 9, 2006 | 22 y | 0 |
| B•••• S•••• M••••• | Bradenton, Fl | Nov 21, 2025 | 40 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 headcount1 left over 36 months
Left, latest
- S•••• O••••• T••••••• to A•••••• P••••••• P•••••••• I•••Nov 22, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• D•••••• R••••• · Senior Vice Presidentcontrolsince 03/2004 · owns 25% to 50%
- M••••••••• W••••••• E•••••• · Presidentcontrolsince 02/1982 · owns 25% to 50%
- M•••••• B••••• S•••• · Senior Vice President & Chief Compliance Officercontrolsince 04/1998 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Bradenton, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 367.0 to 190.0 (-48.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 367 to 190Mar 28, 2025 to Mar 27, 2026
- HNW clients · 78 to 77Mar 28, 2025 to Mar 27, 2026
- Individual clients · 110 to 108Mar 28, 2025 to Mar 27, 2026
- Employees · 3 to 4Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $266M to $280MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $215M to $225MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $50.0M to $54.3MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $6.0M to $3.7MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $2.5M to $185,082Mar 28, 2025 to Mar 27, 2026
- RAUM · $272M to $284MMar 28, 2025 to Mar 27, 2026
- Wrap assets (manager) · $1.1M to $1.2MMar 28, 2025 to Mar 27, 2026
- Accounts · 191 to 367Mar 26, 2024 to Mar 28, 2025
- HNW clients · 70 to 78Mar 26, 2024 to Mar 28, 2025
- Individual clients · 117 to 110Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $250M to $266MMar 26, 2024 to Mar 28, 2025
- HNW RAUM · $199M to $215MMar 26, 2024 to Mar 28, 2025
- Individual RAUM · $51.4M to $50.0MMar 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $6.0M to $6.0MMar 26, 2024 to Mar 28, 2025
- Pension RAUM · $2.7M to $2.5MMar 26, 2024 to Mar 28, 2025
- RAUM · $256M to $272MMar 26, 2024 to Mar 28, 2025
- Wrap assets (manager) · $1.1M to $1.1MMar 26, 2024 to Mar 28, 2025
- Accounts · 387 to 191Mar 28, 2023 to Mar 26, 2024
- HNW clients · 90 to 70Mar 28, 2023 to Mar 26, 2024
- Individual clients · 108 to 117Mar 28, 2023 to Mar 26, 2024
- Employees · 4 to 3Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $241M to $250MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $199M to $199MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $41.3M to $51.4MMar 28, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $5.7M to $6.0MMar 28, 2023 to Mar 26, 2024
- Pension RAUM · $3.5M to $2.7MMar 28, 2023 to Mar 26, 2024
- RAUM · $246M to $256MMar 28, 2023 to Mar 26, 2024
- Wrap assets (manager) · $1.0M to $1.1MMar 28, 2023 to Mar 26, 2024
- Accounts · 392 to 387Apr 1, 2022 to Mar 28, 2023
- HNW clients · 80 to 90Apr 1, 2022 to Mar 28, 2023
- Individual clients · 117 to 108Apr 1, 2022 to Mar 28, 2023
- Discretionary RAUM · $284M to $241MApr 1, 2022 to Mar 28, 2023
- HNW RAUM · $233M to $199MApr 1, 2022 to Mar 28, 2023
- Individual RAUM · $50.4M to $41.3MApr 1, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $6.5M to $5.7MApr 1, 2022 to Mar 28, 2023
Signals
1 dated events
- S•••• O••••• T••••••• left P•••••••• A•••• M••••••••• I•• for A•••••• P••••••• P•••••••• I••• (registered 2019-09-03)Nov 22, 2024 · Advisor changed firm · 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
- Business email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 941-748-8680reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P••••••••ASSET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (941) 748-8680reportedpublic record, Form ADV, Mar 27, 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
- $142Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026