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
R••••••••• C•••••• M••••••••• I••
Latest filing Jul 31, 2026
First filing on the tape Nov 15, 2011 · 31 filings
SEC status approved since Jul 2, 2014
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$233M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$89.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$267M as of Jul 31, 2026
Mar 29, 2012$75.4M then
HNW client RAUM$183M as of Jul 31, 2026
Mar 14, 2018$85.6M then
State-registered IARs (5.B.3)3 as of Jul 31, 2026
Mar 11, 20152 then
Employees (5.A)4 as of Jul 31, 2026
Mar 11, 20154 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Jul 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $89.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $759,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M68%
- Individuals$49.8M19%
- Corporations and businesses$17.7M6.6%
- State and municipal entities$11.9M4.5%
- Pension and profit-sharing plans$4.9M1.8%
- Insurance companies$15,6850.0%
- Individual clients
- 109reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 352reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• E••••• B•••• | Jacksonville, Fl | Aug 8, 2003 | 46 y | 0 |
| A•••••• Y• C••••• | Jacksonville, Fl | Jan 12, 2022 | 10 y | 2 |
| T•••• C•••• K•••••• | Jacksonville, Fl | Jan 1, 2026 | 37 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 67% of current headcount2 left over 36 months
Left, latest
- M••• W•••••• R••• to E•••••••• P•••• W••••• P•••••••• L••Jul 10, 2026 · RIA to RIA
- S•••• C• W•••••• to E•••••••• P•••• W••••• P•••••••• L••Jul 10, 2026 · RIA to RIA
- N••••••• R••••••• W•••••••• to N•• A•••• M••••••••• I•••Feb 5, 2008 · Other
- C•••••••• D•••••• B•••••••• to P••••• C•••••• I••••••••• I•••Dec 31, 2007 · Other
- P•••••• D•••• P••••• to P••••• C•••••• I••••••••• I•••Dec 31, 2007 · Other
Joined, latest
- A•••••• Y• C••••• from P•• M•••••• A•••••• S••••••••• I•••Jan 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••• W•••••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 9, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E•••••••• P•••• W••••• P•••••••• L••Jul 10, 2026 · Jacksonville, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P••••• E••••• · Executive Chairman And Ciocontrolsince 01/2002 · owns 75% or more
- C•••••• A••••••• Y• · Director Of Operations And Compliance, Ccosince 06/2021 · owns less than 5%
- K••••••• T••••• C•••• · Executive Vice President, Controllersince 08/2006 · owns less than 5%
Related persons
Schedule D 7.A
- R••••••••• A••••••••• L••investment advisern
Advisers that list R••••••••• C•••••• M••••••••• I•• as a related person
- 119275 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jacksonville, Fl · principal | 3 | 1 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 3Apr 27, 2026 to Jul 31, 2026
- Employees · 6 to 4Apr 27, 2026 to Jul 31, 2026
- State-registered IARs · 5 to 3Apr 27, 2026 to Jul 31, 2026
- Advisory employees · 4 to 5Mar 25, 2026 to Apr 27, 2026
- Employees · 5 to 6Mar 25, 2026 to Apr 27, 2026
- State-registered IARs · 4 to 5Mar 25, 2026 to Apr 27, 2026
- Accounts · 350 to 352Mar 28, 2025 to Mar 25, 2026
- HNW clients · 44 to 48Mar 28, 2025 to Mar 25, 2026
- Individual clients · 107 to 109Mar 28, 2025 to Mar 25, 2026
- Employees · 7 to 5Mar 28, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 1-10Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $236M to $267MMar 28, 2025 to Mar 25, 2026
- HNW RAUM · $163M to $183MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $35.7M to $49.8MMar 28, 2025 to Mar 25, 2026
- Pension RAUM · $3.2M to $4.9MMar 28, 2025 to Mar 25, 2026
- RAUM · $236M to $267MMar 28, 2025 to Mar 25, 2026
- Accounts · 319 to 350Mar 27, 2024 to Mar 28, 2025
- Corporate clients · 0 to 8Mar 27, 2024 to Mar 28, 2025
- HNW clients · 4 to 44Mar 27, 2024 to Mar 28, 2025
- Individual clients · 288 to 107Mar 27, 2024 to Mar 28, 2025
- Pension plan clients · 2.0 to unsetMar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $213M to $236MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $77.8M to $163MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $116M to $35.7MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $3.0M to $3.2MMar 27, 2024 to Mar 28, 2025
- RAUM · $213M to $236MMar 27, 2024 to Mar 28, 2025
- Accounts · 288 to 319Mar 28, 2023 to Mar 27, 2024
- HNW clients · unset to 4.0Mar 28, 2023 to Mar 27, 2024
- Individual clients · 280 to 288Mar 28, 2023 to Mar 27, 2024
- Pension plan clients · unset to 2.0Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $181M to $213MMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $52.3M to $77.8MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $106M to $116MMar 28, 2023 to Mar 27, 2024
- Pension RAUM · $6.2M to $3.0MMar 28, 2023 to Mar 27, 2024
- RAUM · $181M to $213MMar 28, 2023 to Mar 27, 2024
- Accounts · 284 to 288Mar 22, 2022 to Mar 28, 2023
- HNW clients · 5.0 to unsetMar 22, 2022 to Mar 28, 2023
- Individual clients · 275 to 280Mar 22, 2022 to Mar 28, 2023
- Discretionary RAUM · $201M to $181MMar 22, 2022 to Mar 28, 2023
Signals
4 dated events
- S•••• C• W•••••• left R••••••••• C•••••• M••••••••• I•• for E•••••••• P•••• W••••• P•••••••• L•• (registered 2026-06-17)Jul 10, 2026 · Advisor changed firm · fact
- M••• W•••••• R••• left R••••••••• C•••••• M••••••••• I•• for E•••••••• P•••• W••••• P•••••••• L•• (registered 2026-06-17)Jul 10, 2026 · Advisor changed firm · fact
- 2 advisors left R••••••••• C•••••• M••••••••• I•• (Jacksonville, FL) for E•••••••• P•••• W••••• P•••••••• L•• on the same dayJul 10, 2026 · Team lift-out · derived
- R••••••••• C•••••• M••••••••• I•• filed its initial SEC registration (Form ADV)Jun 18, 2014 · First SEC registration · 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 phone
- 904-346-3434reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 904-346-3460reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 904-346-3460reportedpublic record, Form ADV, Jul 31, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $89.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026