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RIA Intelligence

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Former SEC-registered adviser

R•• B••••••• S•••••••• I•••

Former SEC-registered adviserNaples, FloridaCRD 108653SEC 801-56089IAPD
Latest filing Feb 12, 2024
First filing on the tape Feb 15, 2012 · 16 filings
RAUM
$75.5M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
76%
$57.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$75.5M as of Feb 12, 2024
Feb 15, 2012$184M then
HNW client RAUM$57.3M as of Feb 12, 2024
Mar 19, 2018$67.3M then
State-registered IARs (5.B.3)1 as of Feb 12, 2024
Feb 15, 20120 then
Employees (5.A)1 as of Feb 12, 2024
Mar 7, 20131 then
Private funds: no history
RAUM -16% over the last fiscal year-13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 12, 2024; every figure names its basis
RAUM per advisor
$75.5MderivedRAUM 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
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
70%derivedof RAUM
Institutional
24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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$57.3M76%
  • Charitable organizations$18.2M24%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••• D•••••• L•••• · President, Chief Compliance Officer, Director, Shareholdercontrol
        since 08/1998 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 32 to 35
        Mar 28, 2023 to Feb 12, 2024
      • Discretionary RAUM · $66.2M to $52.9M
        Mar 28, 2023 to Feb 12, 2024
      • HNW RAUM · $64.6M to $57.3M
        Mar 28, 2023 to Feb 12, 2024
      • Non-discretionary RAUM · $23.6M to $22.6M
        Mar 28, 2023 to Feb 12, 2024
      • RAUM · $89.8M to $75.5M
        Mar 28, 2023 to Feb 12, 2024
      • Accounts · 25 to 32
        Feb 9, 2022 to Mar 28, 2023
      • Discretionary RAUM · $75.5M to $66.2M
        Feb 9, 2022 to Mar 28, 2023
      • HNW RAUM · $69.5M to $64.6M
        Feb 9, 2022 to Mar 28, 2023
      • Non-discretionary RAUM · $20.6M to $23.6M
        Feb 9, 2022 to Mar 28, 2023
      • RAUM · $96.2M to $89.8M
        Feb 9, 2022 to Mar 28, 2023
      • Accounts · 29 to 25
        Feb 24, 2021 to Feb 9, 2022
      • State-registered IARs · 0 to 1
        Feb 24, 2021 to Feb 9, 2022
      • Discretionary RAUM · $112M to $75.5M
        Feb 24, 2021 to Feb 9, 2022
      • HNW RAUM · $78.5M to $69.5M
        Feb 24, 2021 to Feb 9, 2022
      • Non-discretionary RAUM · $3.9M to $20.6M
        Feb 24, 2021 to Feb 9, 2022
      • RAUM · $116M to $96.2M
        Feb 24, 2021 to Feb 9, 2022
      • Accounts · 11 to 29
        Jul 2, 2020 to Feb 24, 2021
      • HQ city · COLLIER COUNTY to NAPLES
        Jul 2, 2020 to Feb 24, 2021
      • Discretionary RAUM · $117M to $112M
        Jul 2, 2020 to Feb 24, 2021
      • HNW RAUM · $79.8M to $78.5M
        Jul 2, 2020 to Feb 24, 2021
      • Non-discretionary RAUM · $0 to $3.9M
        Jul 2, 2020 to Feb 24, 2021
      • RAUM · $117M to $116M
        Jul 2, 2020 to Feb 24, 2021
      • Accounts · 12 to 11
        Mar 14, 2019 to Mar 10, 2020
      • HNW clients · 5.0 to unset
        Mar 14, 2019 to Mar 10, 2020
      • Financial planning clients · unset to 0
        Mar 14, 2019 to Mar 10, 2020
      • HQ city · NAPLES to COLLIER COUNTY
        Mar 14, 2019 to Mar 10, 2020
      • Discretionary RAUM · $115M to $117M
        Mar 14, 2019 to Mar 10, 2020
      • HNW RAUM · $78.9M to $79.8M
        Mar 14, 2019 to Mar 10, 2020
      • RAUM · $115M to $117M
        Mar 14, 2019 to Mar 10, 2020
      • Advisory activities · 2 to 1
        Mar 19, 2018 to Mar 14, 2019
      • Other offices · 1 to 0
        Mar 19, 2018 to Mar 14, 2019
      • Discretionary RAUM · $111M to $115M
        Mar 19, 2018 to Mar 14, 2019
      • HNW RAUM · $67.3M to $78.9M
        Mar 19, 2018 to Mar 14, 2019
      • RAUM · $111M to $115M
        Mar 19, 2018 to Mar 14, 2019
      • Accounts · 21 to 12
        Mar 13, 2017 to Mar 19, 2018
      • HNW clients · unset to 5.0
        Mar 13, 2017 to Mar 19, 2018
      • Other offices · unset to 1.0
        Mar 13, 2017 to Mar 19, 2018
      • Discretionary RAUM · $119M to $111M
        Mar 13, 2017 to Mar 19, 2018
      • HNW RAUM · unset to 67319622.0
        Mar 13, 2017 to Mar 19, 2018
      • RAUM · $119M to $111M
        Mar 13, 2017 to Mar 19, 2018
      Signals
      1 dated events
      • R•• B••••••• S•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Apr 14, 2016 · 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.
      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
      Former SEC-registered adviserderiveda 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