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
C•••••• F•••••••• G••••• I•••
Latest filing Mar 31, 2026
First filing on the tape May 19, 2021 · 13 filings
SEC status approved since Jun 21, 2021
RAUM
$248M
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
97%
$241M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$82.8M
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
13 filings and snapshots on the tape
RAUM$248M as of Mar 31, 2026
Mar 30, 2022$146M then
HNW client RAUM$217M as of Mar 31, 2026
Mar 30, 2022$124M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 30, 20222 then
Employees (5.A)4 as of Mar 31, 2026
Mar 30, 20223 then
Private funds: no history
RAUM +12% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $82.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $541,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 59%derivedof RAUM
- Institutional
- 0.1%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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $11.3M, 27 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$217M88%
- Individuals$23.8M9.6%
- Corporations and businesses$6.9M2.8%
- Pension and profit-sharing plans$284,0350.1%
- Individual clients
- 101reported
- HNW clients
- 74reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 459reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.3M for 27 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C•••••• A••••••• C•••••• | Tampa, Fl | Jun 23, 2022 | 15 y | 2 |
| E••• T•• Y•• L•• | Tampa, Fl | Jan 1, 2025 | 17 y | 1 |
| T••••• A••••••• C•••••• | Tampa, Fl | Jan 1, 2025 | 43 y | 3 |
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
- T••••• A••••••• C•••••• from C••••• I••••••••• A••••••• L••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- E••• T•• Y•• L•• from C••••• I••••••••• A••••••• L••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• A••••••• C•••••• from C••••• I••••••••• A••••••• L••Jun 23, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••• I••••••••• A••••••• L••May 24, 2022 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••• A••••••• · Vice Presidentcontrolsince 01/2020 · owns less than 5%
- C••••••• T•••••• A••••••• · President And Chief Compliance Officercontrolsince 09/1996 · 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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-04-16, no on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 413 to 459Apr 16, 2025 to Mar 31, 2026
- Corporate clients · 7 to 10Apr 16, 2025 to Mar 31, 2026
- HNW clients · 71 to 74Apr 16, 2025 to Mar 31, 2026
- Individual clients · 100 to 101Apr 16, 2025 to Mar 31, 2026
- Pension plan clients · unset to 1.0Apr 16, 2025 to Mar 31, 2026
- Assets in custody · $10.5M to $11.3MApr 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $120M to $148MApr 16, 2025 to Mar 31, 2026
- HNW RAUM · $197M to $217MApr 16, 2025 to Mar 31, 2026
- Individual RAUM · $20.4M to $23.8MApr 16, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $103M to $101MApr 16, 2025 to Mar 31, 2026
- Pension RAUM · $242,315 to $284,035Apr 16, 2025 to Mar 31, 2026
- RAUM · $222M to $248MApr 16, 2025 to Mar 31, 2026
- Accounts · 357 to 413Mar 15, 2024 to Apr 16, 2025
- Advisory employees · 2 to 3Mar 15, 2024 to Apr 16, 2025
- Corporate clients · 5 to 7Mar 15, 2024 to Apr 16, 2025
- HNW clients · 65 to 71Mar 15, 2024 to Apr 16, 2025
- Individual clients · 101 to 100Mar 15, 2024 to Apr 16, 2025
- Assets in custody · $66.3M to $10.5MMar 15, 2024 to Apr 16, 2025
- Custody of client assets · false to trueMar 15, 2024 to Apr 16, 2025
- Employees · 3 to 4Mar 15, 2024 to Apr 16, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Apr 16, 2025
- Discretionary RAUM · $94.5M to $120MMar 15, 2024 to Apr 16, 2025
- HNW RAUM · $145M to $197MMar 15, 2024 to Apr 16, 2025
- Individual RAUM · $18.2M to $20.4MMar 15, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $71.3M to $103MMar 15, 2024 to Apr 16, 2025
- Pension RAUM · $170,754 to $242,315Mar 15, 2024 to Apr 16, 2025
- RAUM · $166M to $222MMar 15, 2024 to Apr 16, 2025
- Accounts · 331 to 357Mar 30, 2023 to Mar 15, 2024
- Corporate clients · 4 to 5Mar 30, 2023 to Mar 15, 2024
- HNW clients · 71 to 65Mar 30, 2023 to Mar 15, 2024
- Individual clients · 96 to 101Mar 30, 2023 to Mar 15, 2024
- Pension plan clients · 1.0 to unsetMar 30, 2023 to Mar 15, 2024
- Assets in custody · $42,000 to $66.3MMar 30, 2023 to Mar 15, 2024
- Discretionary RAUM · $74.8M to $94.5MMar 30, 2023 to Mar 15, 2024
- HNW RAUM · $124M to $145MMar 30, 2023 to Mar 15, 2024
- Individual RAUM · $12.0M to $18.2MMar 30, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $63.2M to $71.3MMar 30, 2023 to Mar 15, 2024
- Pension RAUM · $163,969 to $170,754Mar 30, 2023 to Mar 15, 2024
- RAUM · $138M to $166MMar 30, 2023 to Mar 15, 2024
- Accounts · 231 to 331Nov 3, 2022 to Mar 22, 2023
Signals
2 dated events
- 3 advisors left C••••• I••••••••• A••••••• L•• (Tampa, FL) for C•••••• F•••••••• G••••• I••• on the same dayMay 24, 2022 · Team lift-out · derived
- C•••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)May 19, 2021 · 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
- 813-251-1943reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-251-0004reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 813-251-0004reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $82.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026