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.

Former SEC-registered adviser

Florida Investment Advisors

Former SEC-registered adviserTampa, FloridaCRD 109492SEC 801-55717IAPD
Legal name Florida Investment Advisors Inc
Latest filing Nov 27, 2013
First filing on the tape Mar 27, 2012 · 6 filings
RAUM
$152M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$152M as of Mar 22, 2013
Mar 27, 2012$574M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 2
Employees (5.A): 7
Private funds: no history
RAUM -74% over the last fiscal year
Practice profile
derived from the filing of Nov 27, 2013; every figure names its basis
RAUM per advisor
$75.9MderivedRAUM 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
$759,420derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-74%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$152M, 200 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
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
200reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$152M for 200 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Alan Gerald Divers · Directorcontrol
    since 02/2013 · owns less than 5%
  • James Laurens Jr. Ferman · Directorcontrol
    since 06/1995 · owns 10% to 25%
  • Emily Palmer Vitale · Operations Manager/Finop/Ccocontrol
    since 10/1998 · owns less than 5%
  • Gregory Jerome Celestan · Director
    since 01/2013 · owns less than 5%
  • Theodore Scott Fleming · Executive Vice President, Wealth Management
    since 09/2013 · owns less than 5%
  • Luis Garcia · Director
    since 04/2001 · owns less than 5%
  • Gary William Harrod · Director
    since 08/2007 · owns less than 5%
  • William O III West · Chairman
    since 02/2013 · owns less than 5%
  • Paul Leo Whiting · Director
    since 08/2007 · owns less than 5%
Entity owners
  • Tampa Bay Banking Co. · Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • The Bank Of Tampa
    n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 382 to 200
    Jun 18, 2012 to Mar 22, 2013
  • Advisory employees · unset to 5.0
    Jun 18, 2012 to Mar 22, 2013
  • BD registered reps · unset to 5.0
    Jun 18, 2012 to Mar 22, 2013
  • Assets in custody · $290M to $152M
    Jun 18, 2012 to Mar 22, 2013
  • Employees · unset to 7.0
    Jun 18, 2012 to Mar 22, 2013
  • State-registered IARs · unset to 2.0
    Jun 18, 2012 to Mar 22, 2013
  • Discretionary RAUM · $574M to $152M
    Jun 18, 2012 to Mar 22, 2013
  • RAUM · $574M to $152M
    Jun 18, 2012 to Mar 22, 2013
  • Related broker-dealer · false to true
    Jun 18, 2012 to Mar 22, 2013
  • Related broker-dealer · true to false
    Mar 27, 2012 to Jun 18, 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.
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