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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
B•••••• C••••••• • A••••••••• I••
Latest filing Mar 23, 2026
First filing on the tape Mar 13, 2012 · 31 filings
SEC status approved since May 23, 1988
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
18%
$30.4M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$41.5M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$166M as of Mar 23, 2026
Mar 13, 2018$43.0M then
HNW client RAUM$25.4M as of Mar 23, 2026
Mar 13, 2018$23.4M then
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Mar 13, 20120 then
Employees (5.A)10 as of Mar 23, 2026
Mar 28, 20138 then
Private funds: no history
RAUM -0.5% over the last fiscal year+6.3% a year over threeIARs 4 to 4offices 5 to 6
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $33.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $7.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 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
- State and municipal entities$90.4M56%
- Pension and profit-sharing plans$39.1M24%
- High-net-worth individuals$25.4M16%
- Individuals$5.0M3.1%
- Charitable organizations$1.0M0.6%
- Individual clients
- 11reported
- HNW clients
- 4reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.18 fund_share=0.0 institutional_share=0.79 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S••••• B•••••• | Orlando, Fl | Nov 15, 2013 | 13 y | 0 |
| F••• W•• | Windermere, Fl | Nov 22, 2013 | 20 y | 1 |
| B•••••• B••••• C••••••• | Orlando, Fl | Jan 29, 2014 | 38 y | 1 |
| L•••• M•••••• C••• | Windermere, Fl | May 2, 2014 | 25 y | 1 |
| C•••• R•••••• B•••••• | Orlando, Fl | Sep 14, 2026 | 10 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
- S••••• H••••• T••••• to N•••••• G•••• S••••••••• I•••May 30, 2008 · Other
- R••••• W• L••••• to T•• B•••••• G••••Jul 29, 2004 · Other
- D••••• C••••• D••••• to M••••• S•••••• D• I•••Mar 15, 2004 · Other
Joined, latest
- L•••• M•••••• C••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 2, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• B••••••• B••••• · President And Chief Executive Officercontrolsince 03/1988 · owns 75% or more
- C•••••••• D••••••••• N••••• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- M••••••• R••••• · Chief Financial Officersince 02/2019 · 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 | 4 | 0 | 0 | ||
| Windermere, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 5 to 6Apr 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $167M to $166MApr 17, 2025 to Mar 23, 2026
- HNW RAUM · $25.4M to $25.4MApr 17, 2025 to Mar 23, 2026
- Individual RAUM · $4.0M to $5.0MApr 17, 2025 to Mar 23, 2026
- Pension RAUM · $32.5M to $39.1MApr 17, 2025 to Mar 23, 2026
- RAUM · $167M to $166MApr 17, 2025 to Mar 23, 2026
- Financial planning clients · unset to May 14, 2024 to Apr 17, 2025
- Discretionary RAUM · $152M to $167MMay 14, 2024 to Apr 17, 2025
- HNW RAUM · $23.7M to $25.4MMay 14, 2024 to Apr 17, 2025
- Individual RAUM · $3.4M to $4.0MMay 14, 2024 to Apr 17, 2025
- Pension RAUM · $26.3M to $32.5MMay 14, 2024 to Apr 17, 2025
- RAUM · $152M to $167MMay 14, 2024 to Apr 17, 2025
- Accounts · 25 to 22Dec 14, 2023 to Mar 26, 2024
- Pension plan clients · 3 to 2Dec 14, 2023 to Mar 26, 2024
- Employees · 11 to 10Dec 14, 2023 to Mar 26, 2024
- Other offices · 1 to 5Dec 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $138M to $152MDec 14, 2023 to Mar 26, 2024
- HNW RAUM · $33.7M to $23.7MDec 14, 2023 to Mar 26, 2024
- Individual RAUM · $3.1M to $3.4MDec 14, 2023 to Mar 26, 2024
- Pension RAUM · $20.9M to $26.3MDec 14, 2023 to Mar 26, 2024
- RAUM · $138M to $152MDec 14, 2023 to Mar 26, 2024
- Accounts · 23 to 25Jun 16, 2022 to Mar 7, 2023
- HNW clients · 5 to 4Jun 16, 2022 to Mar 7, 2023
- Discretionary RAUM · $80.3M to $138MJun 16, 2022 to Mar 7, 2023
- HNW RAUM · $45.8M to $33.7MJun 16, 2022 to Mar 7, 2023
- Individual RAUM · $3.0M to $3.1MJun 16, 2022 to Mar 7, 2023
- Pension RAUM · $23.4M to $20.9MJun 16, 2022 to Mar 7, 2023
- RAUM · $80.3M to $138MJun 16, 2022 to Mar 7, 2023
- Accounts · 22 to 23Aug 5, 2021 to Mar 12, 2022
- HNW clients · 4 to 5Aug 5, 2021 to Mar 12, 2022
- Discretionary RAUM · $68.6M to $80.3MAug 5, 2021 to Mar 12, 2022
- HNW RAUM · $42.9M to $45.8MAug 5, 2021 to Mar 12, 2022
- Individual RAUM · $2.8M to $3.0MAug 5, 2021 to Mar 12, 2022
- Pension RAUM · $19.6M to $23.4MAug 5, 2021 to Mar 12, 2022
- RAUM · $68.6M to $80.3MAug 5, 2021 to Mar 12, 2022
- Accounts · 15 to 22Oct 14, 2020 to Mar 16, 2021
- Charity clients · 2 to 1Oct 14, 2020 to Mar 16, 2021
- HNW clients · 3 to 4Oct 14, 2020 to Mar 16, 2021
- Individual clients · 8 to 11Oct 14, 2020 to Mar 16, 2021
- Pension plan clients · 1 to 3Oct 14, 2020 to Mar 16, 2021
Signals
6 dated events
- C•••• R•••••• B•••••• added a FL registration at B•••••• C••••••• • A••••••••• I••Sep 16, 2026 · New state registration · fact
- C•••• R•••••• B•••••• registered as an investment adviser representative at B•••••• C••••••• • A••••••••• I••Sep 14, 2026 · Advisor registered · fact
- C•••• R•••••• B•••••• added a TX registration at B•••••• C••••••• • A••••••••• I••Sep 14, 2026 · New state registration · fact
- K•••••• H••••• (Chief Compliance Officer) no longer on Schedule A of B•••••• C••••••• • A••••••••• I•• (listed 2023-12-05, absent 2023-12-14)Dec 14, 2023 · Control person left · inference
- N••••• D•••••••• C••••••• (Chief Compliance Officer) appeared on Schedule A of B•••••• C••••••• • A••••••••• I••Dec 14, 2023 · Control person joined · fact
- K•••••• H••••• (Chief Compliance Officer) appeared on Schedule A of B•••••• C••••••• • A••••••••• I••Oct 2, 2023 · Control person joined · 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
- Website
- B••••••C•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-644-0111reportedpublic record, Form ADV, Mar 23, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026