DFX Intelligence

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G••••••• • C••••••• L••

Independent wealth managerSEC-registered· Vero Beach, Florida

Independent wealth manager, based in Vero Beach, Florida, reporting $98.1M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $98.1M
Advisors: 1
Net advisor flow, 12 months: 0
Private clients: 99%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 111984 · SEC 801-60165 · 19 filingsShow

CRD 111984SEC 801-60165First filing on the tape Feb 29, 2012, latest Feb 26, 2026SEC status approved since Apr 6, 2001IAPD

RAUM

$98.1M

reported, Item 5.F

Discretionary

27%

of RAUM

Private clients

99%

$97.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$98.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM -3.8% a year over three years · the tape starts Feb 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$98.1M as of Feb 26, 2026

Feb 29, 2012$79.3M then

HNW client RAUM$87.4M as of Feb 26, 2026

Mar 14, 2018$93.5M then

State-registered IARs (5.B.3)1 as of Feb 26, 2026

Feb 29, 20120 then

Employees (5.A)1 as of Feb 26, 2026

Mar 13, 20133 then

Private funds: no history

RAUM n/a over the last fiscal year-3.8% a year over three

Practice profile

derived from the filing of Feb 26, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $98.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 50derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.4MderivedHNW RAUM over HNW clients
Average account: $1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 27%derivedof RAUM
Institutional: 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: 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

89% high-net-worth individuals, 9.9% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$87.4M89%
Individuals$9.7M9.9%
Charitable organizations$912,2280.9%

Individual clients: 24reported
HNW clients: 26reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 53reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
R•••••• W••••••• T••••	Vero Beach, Fl	Apr 13, 2011	20 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T••••• R••••••• W••••••• · President/Managing Member/Chief Compliance Officercontrol
since 07/2018 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 48 to 53
May 1, 2025 to Feb 26, 2026
HNW clients · 27 to 26
May 1, 2025 to Feb 26, 2026
Individual clients · 21 to 24
May 1, 2025 to Feb 26, 2026
Discretionary RAUM · $26.7M to $26.7M
May 1, 2025 to Feb 26, 2026
HNW RAUM · $84.3M to $87.4M
May 1, 2025 to Feb 26, 2026

Full history · 80 changes

Individual RAUM · $7.4M to $9.7M
May 1, 2025 to Feb 26, 2026
Non-discretionary RAUM · $65.9M to $71.4M
May 1, 2025 to Feb 26, 2026
RAUM · $92.6M to $98.1M
May 1, 2025 to Feb 26, 2026
HNW clients · 29 to 27
Mar 21, 2024 to May 1, 2025
Individual clients · 18 to 21
Mar 21, 2024 to May 1, 2025
Financial planning clients · unset to
Mar 21, 2024 to May 1, 2025
Discretionary RAUM · $25.9M to $26.7M
Mar 21, 2024 to May 1, 2025
HNW RAUM · $82.4M to $84.3M
Mar 21, 2024 to May 1, 2025
Individual RAUM · $6.8M to $7.4M
Mar 21, 2024 to May 1, 2025
Non-discretionary RAUM · $64.1M to $65.9M
Mar 21, 2024 to May 1, 2025
RAUM · $90.0M to $92.6M
Mar 21, 2024 to May 1, 2025
Accounts · 45 to 48
Feb 28, 2023 to Mar 21, 2024
Advisory employees · 2 to 1
Feb 28, 2023 to Mar 21, 2024
Charity clients · 1.0 to unset
Feb 28, 2023 to Mar 21, 2024
HNW clients · 25 to 29
Feb 28, 2023 to Mar 21, 2024
Individual clients · 19 to 18
Feb 28, 2023 to Mar 21, 2024
Employees · 2 to 1
Feb 28, 2023 to Mar 21, 2024
State-registered IARs · 2 to 1
Feb 28, 2023 to Mar 21, 2024
Discretionary RAUM · $60.8M to $25.9M
Feb 28, 2023 to Mar 21, 2024
HNW RAUM · $103M to $82.4M
Feb 28, 2023 to Mar 21, 2024
Individual RAUM · $6.2M to $6.8M
Feb 28, 2023 to Mar 21, 2024
Non-discretionary RAUM · $49.4M to $64.1M
Feb 28, 2023 to Mar 21, 2024
RAUM · $110M to $90.0M
Feb 28, 2023 to Mar 21, 2024
Accounts · 44 to 45
Mar 4, 2022 to Feb 28, 2023
Charity clients · 0 to 1
Mar 4, 2022 to Feb 28, 2023
Discretionary RAUM · $59.7M to $60.8M
Mar 4, 2022 to Feb 28, 2023
HNW RAUM · $115M to $103M
Mar 4, 2022 to Feb 28, 2023
Individual RAUM · $7.0M to $6.2M
Mar 4, 2022 to Feb 28, 2023
Non-discretionary RAUM · $62.5M to $49.4M
Mar 4, 2022 to Feb 28, 2023
RAUM · $122M to $110M
Mar 4, 2022 to Feb 28, 2023
Accounts · 43 to 44
Oct 6, 2021 to Mar 4, 2022
Discretionary RAUM · $59.0M to $59.7M
Oct 6, 2021 to Mar 4, 2022
HNW RAUM · $107M to $115M
Oct 6, 2021 to Mar 4, 2022
Individual RAUM · $6.8M to $7.0M
Oct 6, 2021 to Mar 4, 2022
Non-discretionary RAUM · $54.4M to $62.5M
Oct 6, 2021 to Mar 4, 2022
RAUM · $113M to $122M
Oct 6, 2021 to Mar 4, 2022
Accounts · 40 to 43
Jun 26, 2020 to Feb 12, 2021
HNW clients · 22 to 25
Jun 26, 2020 to Feb 12, 2021
Individual clients · 18 to 19
Jun 26, 2020 to Feb 12, 2021
Discretionary RAUM · $59.6M to $59.0M
Jun 26, 2020 to Feb 12, 2021
HNW RAUM · $100M to $107M
Jun 26, 2020 to Feb 12, 2021
Individual RAUM · $6.5M to $6.8M
Jun 26, 2020 to Feb 12, 2021
Non-discretionary RAUM · $47.0M to $54.4M
Jun 26, 2020 to Feb 12, 2021
RAUM · $107M to $113M
Jun 26, 2020 to Feb 12, 2021
Discretionary RAUM · $58.3M to $59.6M
Jun 3, 2019 to Feb 11, 2020
HNW RAUM · $92.9M to $100M
Jun 3, 2019 to Feb 11, 2020
Individual RAUM · $6.0M to $6.5M
Jun 3, 2019 to Feb 11, 2020
Non-discretionary RAUM · $40.5M to $47.0M
Jun 3, 2019 to Feb 11, 2020
RAUM · $98.9M to $107M
Jun 3, 2019 to Feb 11, 2020
Accounts · 41 to 40
Jul 19, 2018 to Jan 28, 2019
Advisory activities · 2 to 1
Jul 19, 2018 to Jan 28, 2019
Charity clients · unset to 0.0
Jul 19, 2018 to Jan 28, 2019
HNW clients · 20 to 22
Jul 19, 2018 to Jan 28, 2019
Individual clients · 20 to 18
Jul 19, 2018 to Jan 28, 2019
Discretionary RAUM · $58.8M to $58.3M
Jul 19, 2018 to Jan 28, 2019
HNW RAUM · $93.5M to $92.9M
Jul 19, 2018 to Jan 28, 2019
Individual RAUM · $5.0M to $6.0M
Jul 19, 2018 to Jan 28, 2019
Non-discretionary RAUM · $40.4M to $40.5M
Jul 19, 2018 to Jan 28, 2019
RAUM · $99.2M to $98.9M
Jul 19, 2018 to Jan 28, 2019
Advisory employees · 3 to 2
Mar 14, 2018 to Jul 19, 2018
Employees · 3 to 2
Mar 14, 2018 to Jul 19, 2018
State-registered IARs · 3 to 2
Mar 14, 2018 to Jul 19, 2018
Accounts · 35 to 41
Mar 2, 2017 to Mar 14, 2018
Corporate clients · unset to 0.0
Mar 2, 2017 to Mar 14, 2018
HNW clients · unset to 20.0
Mar 2, 2017 to Mar 14, 2018
Individual clients · unset to 20.0
Mar 2, 2017 to Mar 14, 2018
Pension plan clients · unset to 0.0
Mar 2, 2017 to Mar 14, 2018
Pooled vehicle clients · unset to 0.0
Mar 2, 2017 to Mar 14, 2018
Other offices · unset to 0.0
Mar 2, 2017 to Mar 14, 2018
Discretionary RAUM · $59.2M to $58.8M
Mar 2, 2017 to Mar 14, 2018
HNW RAUM · unset to 93541469.0
Mar 2, 2017 to Mar 14, 2018
Individual RAUM · unset to 5029607.0
Mar 2, 2017 to Mar 14, 2018
Non-discretionary RAUM · $36.8M to $40.4M
Mar 2, 2017 to Mar 14, 2018
RAUM · $96.0M to $99.2M
Mar 2, 2017 to Mar 14, 2018
Accounts · 38 to 35
Mar 17, 2016 to Mar 2, 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.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 26, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $98.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.