DFX Intelligence
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R•••• W••••• M••••••••• I•••
Independent wealth manager, based in Fort Myers, Florida, reporting $576M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $576M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +32%
- Private clients
- 100% of RAUM, $576M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $435MRAUM now $576M
- accounts (Item 5.F.2.f) 275Peer median 0.0584066471163245
- Contact points 4
Every filed figure, and the identifiersCRD 109638 · SEC 801-79468 · 43 filingsShowHide
CRD 109638SEC 801-79468First filing on the tape Dec 21, 2011, latest Jul 13, 2026SEC status approved since Apr 11, 2014IAPD
RAUM
$576M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$576M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$288M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$576M as of Jul 13, 2026
Jan 19, 2012$69.9M then
HNW client RAUM$520M as of Jul 13, 2026
Feb 1, 2018$77.0M then
State-registered IARs (5.B.3)2 as of Jul 13, 2026
Jan 19, 20120 then
Employees (5.A)7 as of Jul 13, 2026
Feb 17, 20158 then
Private funds: no history
RAUM +32% over the last fiscal year+29% a year over threeIARs 2 to 2offices 3 to 2
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $288MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$520M90%
- Individuals$56.0M9.7%
- Individual clients
- 75reported
- HNW clients
- 200reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 275reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C•••••• R••••Certified Financial Planner | Fort Myers, Fl | Oct 29, 1997 | 35 y | 0 |
| J•••••• A•• S•••••• | Aurora, Il | Jun 25, 2012 | 16 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• B••••• C•••••• · Owner/President/Chief Compliance Officercontrolsince 05/1992 · 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 |
|---|---|---|---|---|---|
| Fort Myers, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Aurora, IL1 employees
- Boca Raton, FL1 employees
- Naples, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 781.0 to 275.0 (-65.0%) between the annual amendments of 2025-03-04 and 2026-03-23; the peer median change was +6.0% (1256 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.9% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $506M to $576MMar 23, 2026 to May 29, 2026
- HNW RAUM · $450M to $520MMar 23, 2026 to May 29, 2026
- RAUM · $506M to $576MMar 23, 2026 to May 29, 2026
- Other offices · 3 to 2Feb 9, 2026 to Mar 23, 2026
- Accounts · 781 to 275Mar 4, 2025 to Feb 9, 2026
- HNW clients · 164 to 200Mar 4, 2025 to Feb 9, 2026
- Individual clients · 110 to 75Mar 4, 2025 to Feb 9, 2026
- Discretionary RAUM · $435M to $506MMar 4, 2025 to Feb 9, 2026
- HNW RAUM · $380M to $450MMar 4, 2025 to Feb 9, 2026
- Individual RAUM · $55.4M to $56.0MMar 4, 2025 to Feb 9, 2026
- RAUM · $435M to $506MMar 4, 2025 to Feb 9, 2026
- Accounts · 720 to 781Oct 25, 2024 to Mar 4, 2025
- HNW clients · 205 to 164Oct 25, 2024 to Mar 4, 2025
- Individual clients · 200 to 110Oct 25, 2024 to Mar 4, 2025
- Financial planning clients · 1-10 to 1-10Oct 25, 2024 to Mar 4, 2025
- Discretionary RAUM · $389M to $435MOct 25, 2024 to Mar 4, 2025
- HNW RAUM · $234M to $380MOct 25, 2024 to Mar 4, 2025
- Individual RAUM · $156M to $55.4MOct 25, 2024 to Mar 4, 2025
- RAUM · $389M to $435MOct 25, 2024 to Mar 4, 2025
- Accounts · 721 to 720Aug 15, 2024 to Sep 27, 2024
- Employees · 6 to 7Aug 15, 2024 to Sep 27, 2024
- Discretionary RAUM · $346M to $389MAug 15, 2024 to Sep 27, 2024
- HNW RAUM · $174M to $234MAug 15, 2024 to Sep 27, 2024
- Individual RAUM · $173M to $156MAug 15, 2024 to Sep 27, 2024
- Non-discretionary RAUM · $1.9M to $0Aug 15, 2024 to Sep 27, 2024
- RAUM · $347M to $389MAug 15, 2024 to Sep 27, 2024
- Accounts · 262 to 721Aug 28, 2023 to Feb 21, 2024
- HNW clients · 67 to 205Aug 28, 2023 to Feb 21, 2024
- Individual clients · 195 to 200Aug 28, 2023 to Feb 21, 2024
- Discretionary RAUM · $266M to $346MAug 28, 2023 to Feb 21, 2024
- HNW RAUM · $125M to $174MAug 28, 2023 to Feb 21, 2024
- Individual RAUM · $143M to $173MAug 28, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $2.0M to $1.9MAug 28, 2023 to Feb 21, 2024
- RAUM · $268M to $347MAug 28, 2023 to Feb 21, 2024
- Accounts · 253 to 262Feb 28, 2022 to Jan 23, 2023
- HNW clients · 105 to 67Feb 28, 2022 to Jan 23, 2023
- Individual clients · 148 to 195Feb 28, 2022 to Jan 23, 2023
- Discretionary RAUM · $324M to $266MFeb 28, 2022 to Jan 23, 2023
- HNW RAUM · $245M to $125MFeb 28, 2022 to Jan 23, 2023
- Individual RAUM · $82.0M to $143MFeb 28, 2022 to Jan 23, 2023
Signals
2 dated events
- ••• LockedJul 13, 2026 · ria office closed · derived
- ••• LockedMar 25, 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jul 13, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jul 13, 2026
- Team page
- ••• Lockedreportedpublished 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
- $288Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026