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
M•••••• F••••••••• T•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 23, 2012 · 26 filings
SEC status approved since Oct 27, 1998
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
30
11 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Mar 23, 2012$218M then
HNW client RAUM$1.1B as of Mar 30, 2026
Feb 28, 2018$465M then
State-registered IARs (5.B.3)11 as of Mar 30, 2026
Mar 23, 20120 then
Employees (5.A)30 as of Mar 30, 2026
Mar 27, 201311 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Mar 30, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $368,710derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Financial planning clients
- 900reportedItem 5.H
- Custody
- $77.3M, 202 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)
- 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$1.1B84%
- Individuals$218M16%
- Corporations and businesses$1.9M0.1%
- Charitable organizations$133,7810.0%
- Individual clients
- 517reported
- HNW clients
- 389reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 3,662reported
- Financial planning clients
- 900reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.3M for 202 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• T•••••Certified Financial Planner | Orlando, Fl | May 17, 1999 | 27 y | 0 |
| C•••••• E••••• F•••••••••Certified Financial Planner | Orlando, Fl | May 17, 1999 | 29 y | 0 |
| D••••• B•••• M••••••Certified Financial Planner | Orlando, Fl | Jan 9, 2003 | 35 y | 0 |
| D•••••• B•••• C•••••••Certified Financial Planner | Orlando, Fl | Jan 21, 2009 | 24 y | 0 |
| M•••••• T••• S•••••Certified Financial Planner | Orlando, Fl | Mar 26, 2013 | 18 y | 0 |
| D••••• J••• H•••Certified Financial Planner | Orlando, Fl | Mar 2, 2020 | 31 y | 2 |
| T••••• L•••• L••••Certified Financial Planner | Orlando, Fl | May 25, 2021 | 11 y | 0 |
| R••• E••••• O••••••Certified Financial Planner | Orlando, Fl | Mar 3, 2023 | 11 y | 0 |
| B•••••• W•••••• B••••••Certified Financial Planner | Orlando, Fl | Jun 19, 2023 | 16 y | 2 |
| C••••••• A•••• G••••••Certified Financial Planner | Orlando, Fl | Feb 10, 2025 | 32 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 headcount0 left over 36 months
Left, latest
- L•••• M•••••• L•••••• to L•••••• F•••••••• P••••••• L••Feb 6, 2020 · RIA to a state-registered adviser
Joined, latest
- B•••••• W•••••• B•••••• from A••••• A•• P••••••• S•••••••Jun 19, 2023 · Affiliated broker-dealer or bank to independent RIA
- D••••• J••• H••• from B••• O•• S••••••••• C•••••••••Mar 2, 2020 · Other
- L•••• M•••••• L•••••• from F•••••••• • I••••••••• S•••••••• P•••Oct 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• D••••••• B•••• · Member LLCcontrolsince 01/2014 · owns 10% to 25%
- F••••••••• C••••••• E••••• · Membercontrolsince 07/1998 · owns 10% to 25%
- H•••• D•••••• J••• · Chief Compliance Officercontrolsince 03/2025 · owns 10% to 25%
- M••••••• D•••••• B•••• · Member, LLCcontrolsince 07/2008 · owns 10% to 25%
- S•••••• M••••••• T••• · Member LLCcontrolsince 01/2016 · owns 10% to 25%
- T•••••• R••••• · Member LLCcontrolsince 07/1998 · owns 10% to 25%
- N•••• S•••• E•••••••• · Chief Compliance Officersince 01/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Orlando, Fl · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Palm Beach, FL2 employees
- Daytona Beach, FL2 employees
- Fort Lauderdale, FL2 employees
- Lake Mary, FL2 employees
- Melbourne, FL2 employees
- Tampa, FL2 employees
- Boca Raton, FL2 employees
- Fort Pierce, FL1 employees
- Jacksonville, FL1 employees
- Plano, TX1 employees
- Lakeland, FL1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026H•••• D•••••• J••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2019-03-26 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-28, yes on the filing of 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,571 to 3,662Mar 28, 2025 to Mar 30, 2026
- HNW clients · 341 to 389Mar 28, 2025 to Mar 30, 2026
- Individual clients · 541 to 517Mar 28, 2025 to Mar 30, 2026
- Assets in custody · unset to 77300174.0Mar 28, 2025 to Mar 30, 2026
- Custody of client assets · false to trueMar 28, 2025 to Mar 30, 2026
- Employees · 28 to 30Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.4BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $935M to $1.1BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $215M to $218MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · unset to 0.0Mar 28, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.4BMar 28, 2025 to Mar 30, 2026
- Accounts · 852 to 3,571Dec 17, 2024 to Mar 28, 2025
- Advisory employees · 9 to 11Dec 17, 2024 to Mar 28, 2025
- HNW clients · 399 to 341Dec 17, 2024 to Mar 28, 2025
- Individual clients · 452 to 541Dec 17, 2024 to Mar 28, 2025
- Employees · 25 to 28Dec 17, 2024 to Mar 28, 2025
- Financial planning clients · More than 500 to More than 500Dec 17, 2024 to Mar 28, 2025
- State-registered IARs · 9 to 11Dec 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.0B to $1.2BDec 17, 2024 to Mar 28, 2025
- HNW RAUM · $902M to $935MDec 17, 2024 to Mar 28, 2025
- Individual RAUM · $127M to $215MDec 17, 2024 to Mar 28, 2025
- RAUM · $1.0B to $1.2BDec 17, 2024 to Mar 28, 2025
- Other offices · 2 to 11Aug 2, 2024 to Dec 17, 2024
- Accounts · 3,169 to 852May 15, 2023 to Mar 29, 2024
- Advisory employees · 8 to 9May 15, 2023 to Mar 29, 2024
- Advisory activities · 5 to 4May 15, 2023 to Mar 29, 2024
- HNW clients · 369 to 399May 15, 2023 to Mar 29, 2024
- Individual clients · 421 to 452May 15, 2023 to Mar 29, 2024
- Employees · 21 to 25May 15, 2023 to Mar 29, 2024
- State-registered IARs · 8 to 9May 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $893M to $1.0BMay 15, 2023 to Mar 29, 2024
- HNW RAUM · $778M to $902MMay 15, 2023 to Mar 29, 2024
- Individual RAUM · $115M to $127MMay 15, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $8.0M to $0May 15, 2023 to Mar 29, 2024
- Pension RAUM · 7952566.0 to unsetMay 15, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · 0.0 to unsetMay 15, 2023 to Mar 29, 2024
- RAUM · $901M to $1.0BMay 15, 2023 to Mar 29, 2024
- Accounts · 3,089 to 3,169Oct 19, 2022 to Mar 8, 2023
- Advisory employees · 7 to 8Oct 19, 2022 to Mar 8, 2023
- HNW clients · 343 to 369Oct 19, 2022 to Mar 8, 2023
Signals
1 dated events
- M•••••• F••••••••• T•••••• L•• reported 11 offices beyond its principal office, up from 2 (2024-08-02 to 2024-12-17)Dec 17, 2024 · Office count change · derived
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
- Firm profile
- LINKEDIN.COM/COMPANY/3485775reportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/FOR-CRE-BROKERSreportedpublic record, Form ADV, Sep 19, 2026
- Website
- FORCREBROKERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 407-869-6228reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- FORCREBROKERS.COM/our-teamreportedpublished 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026