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
F••••••••
Legal name F•••••••• L••
Latest filing Sep 3, 2026
First filing on the tape Nov 30, 2011 · 37 filings
SEC status approved since Aug 30, 1999
RAUM
$250M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
95%
$237M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$50.0M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$250M as of Mar 27, 2026
Mar 29, 2012$147M then
HNW client RAUM$229M as of Mar 27, 2026
Mar 30, 2018$122M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 2, 20130 then
Employees (5.A)6 as of Mar 27, 2026
Apr 2, 201310 then
Private funds: no history
RAUM +23% over the last fiscal year+12% a year over threeIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Sep 3, 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
- $50.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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$229M92%
- Pension and profit-sharing plans$13.0M5.2%
- Individuals$8.0M3.2%
- Individual clients
- 10reported
- HNW clients
- 117reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 128reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd= related_bank= 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•••••• T• K•••••Certified Financial Planner | Daytona Beach, Fl | Nov 5, 2015 | 28 y | 0 |
| B•••• A••• S•••••Certified Financial Planner, Chartered Financial Consultant | Daytona Beach, Fl | Jul 22, 2020 | 13 y | 6 |
| C••••••••• W••• C•••••Chartered Financial Analyst | Daytona Beach, Fl | Jan 1, 2025 | 33 y | 0 |
| E••••• H•••• P••••••Certified Financial Planner, Chartered Financial Consultant | Daytona Beach, Fl | Jan 1, 2025 | 28 y | 0 |
| W•••••• J•••• K•••••• | Daytona Beach, Fl | Jan 1, 2026 | 32 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
- M•••••• S• S••• to M•••••••• F•••••••• P••••••• I•••Jul 31, 2020 · Other
- M•••• S•••••• M••••••• N•••• to R•••••• J•••• • A••••••••• I•••Apr 18, 2018 · RIA to affiliated broker-dealer or bank
- J••••••• M•••••• F••••• to H••••••• W••••• A•••••••Dec 21, 2015 · Other
Joined, latest
- B•••• A••• S••••• from C••••••••• F•••••••• N••••••Jul 22, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••• S•••••• M••••••• N•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 22, 2017 · Other
- J••••••• M•••••• F••••• from G•••••• S•••• W••••• S•••••••• L•••Mar 27, 2014 · Other
- M•••••• S• S••• from H••••••• F••••••••Feb 10, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• W••• · Chief Compliance Officer / Chief Investment Officercontrolsince 09/2001 · owns 25% to 50%
- K••••••• W••••••• J•••• · Presidentcontrolsince 10/2002 · owns less than 5%
- K•••••• M••••••• T• · Founding Partner / Chairmancontrolsince 04/1999 · owns less than 5%
Entity owners
- K••••• F••••• D•••••• T•••• · Irrev Trustdirect · owns 50% to 75%
- M••••• L•• K•••••• T•••••• · Irrevocable Family Trustindirect · owns 50% to 75% of K••••• F••••• D•••••• T••••
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 |
|---|---|---|---|---|---|
| Daytona Beach, Fl · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 27, 2026 to Sep 3, 2026
- Other offices · 0 to 2Mar 27, 2026 to Sep 3, 2026
- Related adviser · false to unsetMar 27, 2026 to Sep 3, 2026
- Related bank · false to unsetMar 27, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetMar 27, 2026 to Sep 3, 2026
- Related insurance company · false to unsetMar 27, 2026 to Sep 3, 2026
- Succession · false to unsetMar 27, 2026 to Sep 3, 2026
- Employees · 7 to 6Mar 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $188M to $229MMar 7, 2025 to Mar 27, 2026
- HNW RAUM · $171M to $229MMar 7, 2025 to Mar 27, 2026
- Individual RAUM · $20.0M to $8.0MMar 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $15.0M to $21.0MMar 7, 2025 to Mar 27, 2026
- Pension RAUM · $11.7M to $13.0MMar 7, 2025 to Mar 27, 2026
- RAUM · $203M to $250MMar 7, 2025 to Mar 27, 2026
- Accounts · 126 to 128Mar 13, 2024 to Mar 7, 2025
- HNW clients · 115 to 117Mar 13, 2024 to Mar 7, 2025
- Financial planning clients · 101-250 to 101-250Mar 13, 2024 to Mar 7, 2025
- Discretionary RAUM · $187M to $188MMar 13, 2024 to Mar 7, 2025
- HNW RAUM · $187M to $171MMar 13, 2024 to Mar 7, 2025
- Individual RAUM · $2.0M to $20.0MMar 13, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $13.0M to $15.0MMar 13, 2024 to Mar 7, 2025
- Pension RAUM · $11.0M to $11.7MMar 13, 2024 to Mar 7, 2025
- RAUM · $200M to $203MMar 13, 2024 to Mar 7, 2025
- Accounts · 125 to 126Mar 30, 2023 to Mar 13, 2024
- Individual clients · 9 to 10Mar 30, 2023 to Mar 13, 2024
- Employees · 8 to 7Mar 30, 2023 to Mar 13, 2024
- Discretionary RAUM · $168M to $187MMar 30, 2023 to Mar 13, 2024
- HNW RAUM · $169M to $187MMar 30, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $12.0M to $13.0MMar 30, 2023 to Mar 13, 2024
- Pension RAUM · $9.0M to $11.0MMar 30, 2023 to Mar 13, 2024
- RAUM · $180M to $200MMar 30, 2023 to Mar 13, 2024
- Accounts · 124 to 125Sep 14, 2022 to Mar 30, 2023
- HNW clients · 114 to 115Sep 14, 2022 to Mar 30, 2023
- Employees · 9 to 8Sep 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $177M to $168MSep 14, 2022 to Mar 30, 2023
- HNW RAUM · $177M to $169MSep 14, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $11.0M to $12.0MSep 14, 2022 to Mar 30, 2023
- RAUM · $188M to $180MSep 14, 2022 to Mar 30, 2023
- Accounts · 139 to 124Jun 25, 2021 to Mar 30, 2022
- HNW clients · 128 to 114Jun 25, 2021 to Mar 30, 2022
Signals
1 dated events
- Michelle Cannon (Chief Operations Officer) no longer on Schedule A of Firstrust (listed 2022-09-14, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
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 email
- info@financialteam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- susie@financialteam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dan@financialteam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kailey@financialteam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- melody@financialteam.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 813-874-7200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 407-859-4334reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 386-788-3737reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 386-788-3737reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- FINANCIALTEAM.COM/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- FINANCIALTEAM.COM/teamreportedpublished 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
- $50.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026