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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Former SEC-registered adviser

I•• C•••••• M••••••••• I••

Former SEC-registered adviserOrlando, FloridaCRD 108806SEC 801-49420IAPD
Latest filing Mar 16, 2015
First filing on the tape Mar 7, 2012 · 12 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.2B as of Mar 16, 2015
Mar 7, 2012$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2015
Feb 28, 20130 then
Employees (5.A)25 as of Mar 16, 2015
Feb 28, 201325 then
Private funds: no history
RAUM -30% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$5.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
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
227reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• B•••• N•• · Cfo/Ciocontrol
        since 10/2011 · owns less than 5%
      • O••••••••• R•••••• M••• · Cio Fixed Income Strategiescontrol
        since 06/2014 · owns less than 5%
      • P••••••••• R•••••• S•••• · Chief Executive Officercontrol
        since 07/2014 · owns less than 5%
      • S••••• S•••••• M•••••• · Coo/Ccocontrol
        since 09/2013 · owns less than 5%
      • L•••••• J•••• R••••• · Managing Directorcontrol
        since 08/2007 · owns F of Icc Capital Management, Inc.
      • M••••••• B•••• N•• · Managing Directorcontrol
        since 12/1997 · owns F of I•• C•••••• M••••••••• I••Orporated
      • M••••••• G••••• I•••• · Managing Directorcontrol
        since 09/1986 · owns 25% to 50% of Icc Capital I•••••••••
      • N••••• R••••••• H••••• · Managing Directorcontrol
        since 08/2007 · owns F of Icc Capital Management, Inc.
      • O••••••••• R•••••• M••• · Chief Executive Officercontrol
        since 08/2007 · owns F of Icc Capital Management, Inc.
      • R••••••••• R••••••• W•••• · Shareholdercontrol
        since 12/2007 · owns F of I•• C•••••• M••••••••• I••Orporated
      • T•••••• M••••••• H••••• · Managing Directorcontrol
        since 12/1997 · owns F of I•• C•••••• M••••••••• I••Orporated
      Entity owners
      • I•• C••••••• I••••••••• · Holding Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Mobile, AL
      • Walnut Creek, CA
      What changed
      consecutive filings, newest first
      • Accounts · 243 to 227
        Jul 9, 2014 to Mar 16, 2015
      • Discretionary RAUM · $1.7B to $1.2B
        Jul 9, 2014 to Mar 16, 2015
      • RAUM · $1.7B to $1.2B
        Jul 9, 2014 to Mar 16, 2015
      • Accounts · 303 to 243
        Oct 11, 2013 to Feb 4, 2014
      • Discretionary RAUM · $2.6B to $1.7B
        Oct 11, 2013 to Feb 4, 2014
      • Non-discretionary RAUM · $1.0M to $0
        Oct 11, 2013 to Feb 4, 2014
      • RAUM · $2.6B to $1.7B
        Oct 11, 2013 to Feb 4, 2014
      • Accounts · 199 to 303
        Apr 17, 2012 to Feb 28, 2013
      • Advisory employees · unset to 8.0
        Apr 17, 2012 to Feb 28, 2013
      • Advisory activities · 3 to 2
        Apr 17, 2012 to Feb 28, 2013
      • Employees · unset to 25.0
        Apr 17, 2012 to Feb 28, 2013
      • State-registered IARs · unset to 0.0
        Apr 17, 2012 to Feb 28, 2013
      • Discretionary RAUM · $3.2B to $2.6B
        Apr 17, 2012 to Feb 28, 2013
      • Non-discretionary RAUM · $1.3M to $1.0M
        Apr 17, 2012 to Feb 28, 2013
      • RAUM · $3.2B to $2.6B
        Apr 17, 2012 to Feb 28, 2013
      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.
      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