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
F•••••••• T•••• A•••• M••••••••• C••••••••
Latest filing Aug 3, 2026
First filing on the tape Mar 29, 2012 · 13 filings
SEC status approved since Mar 31, 2025
RAUM
$142M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
89%
$127M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$35.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$142M as of Aug 3, 2026
Mar 29, 2012$50.6M then
HNW client RAUM$91.2M as of Aug 3, 2026
Apr 29, 2025$72.0M then
State-registered IARs (5.B.3)4 as of Aug 3, 2026
Apr 29, 20253 then
Employees (5.A)5 as of Aug 3, 2026
Apr 29, 20254 then
Private funds: 3
RAUM +23% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Aug 3, 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
- RAUM per advisor
- $35.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $354,816derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +46%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $38.2M, 69 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$91.2M64%
- Individuals$35.6M25%
- Pension and profit-sharing plans$12.8M9.1%
- Corporations and businesses$1.5M1.0%
- Charitable organizations$853,4480.6%
- Individual clients
- 151reported
- HNW clients
- 49reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 400reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.2M for 69 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• O••• M••••Certified Financial Planner, Chartered Financial Analyst | Boca Raton, Fl | Sep 25, 1995 | 35 y | 1 |
| J••• M•••••• S••••Chartered Financial Analyst | Boca Raton, Fl | Feb 27, 2024 | 11 y | 0 |
| A•••••• S•••••• H••••••Certified Financial Planner | Bradenton, Fl | Mar 6, 2025 | 10 y | 1 |
| J••••• T••••• H••• | Boca Raton, Fl | Jun 12, 2025 | 36 y | 5 |
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
- J••••• T••••• H••• from C•••••••• G••••• M•••••• I•••Jun 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••••• S•••••• H•••••• from H•••••• F•••••••• S••••••• L••Mar 6, 2025 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••••••• L•••••• F•••• L• | Hedge Fund | $0 | 0 | Mar 29, 2012 |
| D••••••••• D••••••• I••••• F•••• L• | Hedge Fund | $0 | 0 | Mar 29, 2012 |
| I••••••••• V••••••••• F•••• L• | Hedge Fund | $0 | 0 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• A•••• O••• · President, Ceo, Director, Chief Compliance Officercontrolsince 04/1989 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 416 to 400Nov 14, 2025 to Mar 31, 2026
- Corporate clients · 3 to 5Nov 14, 2025 to Mar 31, 2026
- HNW clients · 40 to 49Nov 14, 2025 to Mar 31, 2026
- Individual clients · 97 to 151Nov 14, 2025 to Mar 31, 2026
- Assets in custody · $13.9M to $38.2MNov 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $112M to $138MNov 14, 2025 to Mar 31, 2026
- HNW RAUM · $72.0M to $91.2MNov 14, 2025 to Mar 31, 2026
- Individual RAUM · $26.4M to $35.6MNov 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $3.7M to $4.0MNov 14, 2025 to Mar 31, 2026
- Pension RAUM · $15.5M to $12.8MNov 14, 2025 to Mar 31, 2026
- RAUM · $115M to $142MNov 14, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Apr 29, 2025 to Jul 17, 2025
- Employees · 4 to 5Apr 29, 2025 to Jul 17, 2025
- Financial planning clients · 1-10 to 1-10Apr 29, 2025 to Jul 17, 2025
- State-registered IARs · 3 to 4Apr 29, 2025 to Jul 17, 2025
- Pension RAUM · unset to 15466076.0Jul 11, 2012 to Apr 29, 2025
- RAUM · $50.6M to $115MJul 11, 2012 to Apr 29, 2025
- Related insurance company · false to trueJul 11, 2012 to Apr 29, 2025
- Accounts · 319 to 416Jul 11, 2012 to Apr 29, 2025
- Advisory employees · unset to 3.0Jul 11, 2012 to Apr 29, 2025
- Charity clients · unset to 1.0Jul 11, 2012 to Apr 29, 2025
- Corporate clients · unset to 3.0Jul 11, 2012 to Apr 29, 2025
- HNW clients · unset to 40.0Jul 11, 2012 to Apr 29, 2025
- Individual clients · unset to 97.0Jul 11, 2012 to Apr 29, 2025
- Pension plan clients · unset to 2.0Jul 11, 2012 to Apr 29, 2025
- Assets in custody · $0 to $13.9MJul 11, 2012 to Apr 29, 2025
- Employees · unset to 4.0Jul 11, 2012 to Apr 29, 2025
- State-registered IARs · unset to 3.0Jul 11, 2012 to Apr 29, 2025
- Other offices · unset to 2.0Jul 11, 2012 to Apr 29, 2025
- Private funds · 3 to unsetJul 11, 2012 to Apr 29, 2025
- Discretionary RAUM · $50.6M to $112MJul 11, 2012 to Apr 29, 2025
- HNW RAUM · unset to 72028044.0Jul 11, 2012 to Apr 29, 2025
- Individual RAUM · unset to 26364379.0Jul 11, 2012 to Apr 29, 2025
- Non-discretionary RAUM · $0 to $3.7MJul 11, 2012 to Apr 29, 2025
- Advisory activities · 5 to 4May 18, 2012 to Jun 25, 2012
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 email
- i•••@f•••••••••.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 561-391-8188reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/financial-trust-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f•••••••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-391-8188reportedpublic record, Form ADV, Aug 3, 2026
- Contact form
- f•••••••••.netreportedpublished by the firm, firm site, Sep 17, 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
- $35.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026