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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Former SEC-registered adviser

L•••• A••••••• S••••••• I•••

Former SEC-registered adviserLake Mary, FloridaCRD 111727SEC 801-40331IAPD
Latest filing Apr 1, 2021
First filing on the tape Dec 22, 2011 · 23 filings
RAUM
$3.5B
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
17%
$590M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$3.5B as of Dec 26, 2020
Dec 22, 2011$1.6B then
HNW client RAUM$572M as of Dec 26, 2020
Dec 19, 2017$464M then
State-registered IARs (5.B.3)6 as of Dec 26, 2020
Dec 20, 20124 then
Employees (5.A)13 as of Dec 26, 2020
Dec 20, 201215 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 6 to 6offices 1 to 0
Practice profile
derived from the filing of Apr 1, 2021; every figure names its basis
RAUM per advisor
$590MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
25derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.0MderivedHNW RAUM over HNW clients
Average account
$5.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
56%derivedof RAUM
Institutional
82%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 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
+2.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
  • Pension and profit-sharing plans$2.8B79%
  • High-net-worth individuals$572M16%
  • Charitable organizations$87.5M2.5%
  • Other investment advisers$41.1M1.2%
  • Individuals$17.8M0.5%
  • Corporations and businesses$7.8M0.2%
Individual clients
56reported
HNW clients
96reported
Pension plan clients
72reported
Charitable clients
10reported
Accounts
643reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L••••••••• M••• · Presidentcontrol
      since 01/2006 · owns less than 5%
    • L••••••••• N•••••••• J•••• · Vice Presidentcontrol
      since 01/2006 · owns less than 5%
    • L••••••••• N•••••••• J•••• · Shareholder, Presidentcontrol
      since 10/1991 · owns 75% or more of T•• L•••• G••••• I•••
    • H••••••••• S••••• A•• · Chief Compliance Officer
      since 09/2004 · owns less than 5%
    Entity owners
    • T•• L•••• G••••• I••• · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Jan 5, 2021 to Mar 31, 2021
    • Accounts · 657 to 643
      Sep 28, 2020 to Dec 26, 2020
    • Advisory employees · 8 to 7
      Sep 28, 2020 to Dec 26, 2020
    • Charity clients · 7 to 10
      Sep 28, 2020 to Dec 26, 2020
    • HNW clients · 92 to 96
      Sep 28, 2020 to Dec 26, 2020
    • Individual clients · 57 to 56
      Sep 28, 2020 to Dec 26, 2020
    • Pension plan clients · 68 to 72
      Sep 28, 2020 to Dec 26, 2020
    • Employees · 14 to 13
      Sep 28, 2020 to Dec 26, 2020
    • Other offices · 1 to 0
      Sep 28, 2020 to Dec 26, 2020
    • Discretionary RAUM · $1.8B to $2.0B
      Sep 28, 2020 to Dec 26, 2020
    • HNW RAUM · $542M to $572M
      Sep 28, 2020 to Dec 26, 2020
    • Individual RAUM · $17.9M to $17.8M
      Sep 28, 2020 to Dec 26, 2020
    • Non-discretionary RAUM · $1.4B to $1.5B
      Sep 28, 2020 to Dec 26, 2020
    • Pension RAUM · $2.5B to $2.8B
      Sep 28, 2020 to Dec 26, 2020
    • RAUM · $3.2B to $3.5B
      Sep 28, 2020 to Dec 26, 2020
    • Accounts · 597 to 657
      Jul 25, 2019 to Dec 24, 2019
    • Charity clients · 8 to 7
      Jul 25, 2019 to Dec 24, 2019
    • Corporate clients · unset to 3.0
      Jul 25, 2019 to Dec 24, 2019
    • HNW clients · 87 to 92
      Jul 25, 2019 to Dec 24, 2019
    • Individual clients · 65 to 57
      Jul 25, 2019 to Dec 24, 2019
    • Discretionary RAUM · $1.6B to $1.8B
      Jul 25, 2019 to Dec 24, 2019
    • HNW RAUM · $487M to $542M
      Jul 25, 2019 to Dec 24, 2019
    • Individual RAUM · $17.8M to $17.9M
      Jul 25, 2019 to Dec 24, 2019
    • Non-discretionary RAUM · $1.1B to $1.4B
      Jul 25, 2019 to Dec 24, 2019
    • Pension RAUM · $2.2B to $2.5B
      Jul 25, 2019 to Dec 24, 2019
    • RAUM · $2.7B to $3.2B
      Jul 25, 2019 to Dec 24, 2019
    • Advisory activities · 5 to 6
      Dec 26, 2018 to Feb 20, 2019
    • Accounts · 579 to 597
      Aug 6, 2018 to Dec 26, 2018
    • HNW clients · 67 to 87
      Aug 6, 2018 to Dec 26, 2018
    • Individual clients · 59 to 65
      Aug 6, 2018 to Dec 26, 2018
    • Pension plan clients · 57 to 68
      Aug 6, 2018 to Dec 26, 2018
    • Discretionary RAUM · $1.4B to $1.6B
      Aug 6, 2018 to Dec 26, 2018
    • HNW RAUM · $464M to $487M
      Aug 6, 2018 to Dec 26, 2018
    • Individual RAUM · $17.8M to $17.8M
      Aug 6, 2018 to Dec 26, 2018
    • Non-discretionary RAUM · $1.0B to $1.1B
      Aug 6, 2018 to Dec 26, 2018
    • Pension RAUM · $1.9B to $2.2B
      Aug 6, 2018 to Dec 26, 2018
    • RAUM · $2.4B to $2.7B
      Aug 6, 2018 to Dec 26, 2018
    • Assets in custody · 456980713.0 to unset
      Dec 19, 2017 to Aug 3, 2018
    • Custody of client assets · true to false
      Dec 19, 2017 to Aug 3, 2018
    • Accounts · 615 to 579
      Dec 21, 2016 to Dec 19, 2017
    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