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.
SEC-registered adviser
Novak & Powell Financial Services, Inc.
Latest filing Mar 22, 2026
First filing on the tape Jan 10, 2017 · 21 filings
SEC status approved since Jan 24, 2017
RAUM
$359M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$359M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$44.9M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$359M as of Mar 22, 2026
Mar 27, 2018$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 22, 2026
Mar 27, 20184 then
Employees (5.A)7 as of Mar 22, 2026
Mar 27, 20184 then
Private funds: no history
RAUM +7.7% over the last fiscal year+12% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 22, 2026; every figure names its basis
- RAUM per advisor
- $44.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $380,386derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $4.2M, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$359M100%
- Individual clients
- 426reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 945reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.2M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joshua D Powell | St. Petersburg, Fl | May 6, 2011 | 26 y | 2 |
| David William Novak | St. Petersburg, Fl | May 28, 2014 | 26 y | 2 |
| Eric Quinten Giesler | St. Petersburg, Fl | Oct 22, 2019 | 23 y | 2 |
| Terry Ray Carr | Largo, Fl | Jan 17, 2020 | 34 y | 2 |
| Samuel Douglas Cornell | Tucson, Az | Nov 29, 2021 | 38 y | 1 |
| Alan Keith GoldfarbCertified Financial Planner | St. Petersburg, Fl | Aug 5, 2022 | 46 y | 7 |
| Gregg Stephen Ducatte | Largo, Fl | Jan 1, 2025 | 33 y | 3 |
| Belinda Jean Sheffield | St. Petersburg, Fl | Jan 23, 2026 | 43 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
- Vincent Edward Sobocinski to Stratos Wealth Advisors LLCJun 14, 2023 · RIA to RIA
- Dale Jarrett Korman to Sage Advisory Services Ltd CoMar 27, 2020 · Other
Joined, latest
- Gregg Stephen Ducatte from Raymond James Financial Services Advisors, IncJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Alan Keith Goldfarb from Xo Wealth ManagementAug 5, 2022 · RIA to RIA
- Vincent Edward Sobocinski from Blue Crab PartnersJan 7, 2022 · Other
- Samuel Douglas Cornell from Vantage Investing LLCNov 29, 2021 · Other
- Terry Ray Carr from Raymond James Financial Services Advisors, IncJan 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- Dale Jarrett Korman from Neuberger Berman Bd LLCMay 6, 2019 · Other
- David William Novak from Raymond James Financial Services Advisors, IncMay 28, 2014 · Other
- Joshua D Powell from Alpine Asset Management, LLCMay 6, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Raymond James Financial Services Advisors, IncMay 4, 2020 · Largo, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William David Novak · Principal, Chief Compliance Officercontrolsince 09/2013 · owns 50% to 75%
- D Joshua Powell · Principalcontrolsince 09/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| St Petersburg, Fl | 7 | 1 | 0 | ||
| Largo, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boulder, CO1 employees
- Largo, FL1 employees
- Tucson, AZ1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 22, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-28, yes on the filing of 2026-03-22peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 952 to 945Mar 28, 2025 to Mar 22, 2026
- Advisory employees · 8 to 7Mar 28, 2025 to Mar 22, 2026
- Individual clients · 442 to 426Mar 28, 2025 to Mar 22, 2026
- Assets in custody · unset to 4189722.0Mar 28, 2025 to Mar 22, 2026
- Custody of client assets · false to trueMar 28, 2025 to Mar 22, 2026
- Employees · 8 to 7Mar 28, 2025 to Mar 22, 2026
- State-registered IARs · 8 to 7Mar 28, 2025 to Mar 22, 2026
- Discretionary RAUM · $334M to $359MMar 28, 2025 to Mar 22, 2026
- Individual RAUM · $334M to $359MMar 28, 2025 to Mar 22, 2026
- RAUM · $334M to $359MMar 28, 2025 to Mar 22, 2026
- Accounts · 1,043 to 952Mar 28, 2024 to Mar 28, 2025
- Individual clients · 436 to 442Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $306M to $334MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $306M to $334MMar 28, 2024 to Mar 28, 2025
- RAUM · $306M to $334MMar 28, 2024 to Mar 28, 2025
- Accounts · 970 to 1,043Dec 15, 2023 to Mar 28, 2024
- Advisory employees · 10 to 8Dec 15, 2023 to Mar 28, 2024
- Individual clients · 459 to 436Dec 15, 2023 to Mar 28, 2024
- Employees · 10 to 8Dec 15, 2023 to Mar 28, 2024
- State-registered IARs · 10 to 8Dec 15, 2023 to Mar 28, 2024
- Other offices · 3 to 4Dec 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $256M to $306MDec 15, 2023 to Mar 28, 2024
- Individual RAUM · $256M to $306MDec 15, 2023 to Mar 28, 2024
- RAUM · $256M to $306MDec 15, 2023 to Mar 28, 2024
- Accounts · 1,018 to 970Dec 11, 2022 to Mar 29, 2023
- Advisory employees · 9 to 10Dec 11, 2022 to Mar 29, 2023
- Individual clients · 437 to 459Dec 11, 2022 to Mar 29, 2023
- Employees · 9 to 10Dec 11, 2022 to Mar 29, 2023
- State-registered IARs · 9 to 10Dec 11, 2022 to Mar 29, 2023
- Discretionary RAUM · $296M to $256MDec 11, 2022 to Mar 29, 2023
- Individual RAUM · $296M to $256MDec 11, 2022 to Mar 29, 2023
- RAUM · $296M to $256MDec 11, 2022 to Mar 29, 2023
- Accounts · 265 to 1,018Nov 3, 2021 to Mar 31, 2022
- Advisory employees · 8 to 9Nov 3, 2021 to Mar 31, 2022
- Individual clients · 265 to 437Nov 3, 2021 to Mar 31, 2022
- Employees · 8 to 9Nov 3, 2021 to Mar 31, 2022
- State-registered IARs · 8 to 9Nov 3, 2021 to Mar 31, 2022
- Other offices · 1 to 3Nov 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $239M to $296MNov 3, 2021 to Mar 31, 2022
Signals
2 dated events
- Vincent Edward Sobocinski left Novak & Powell Financial Services, Inc. for Stratos Wealth Advisors Llc (registered 2023-06-07)Jun 14, 2023 · Advisor changed firm · fact
- Novak & Powell Financial Services, Inc. filed its initial SEC registration (Form ADV)Jan 10, 2017 · 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
- Website
- carrteam.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 727-451-3440reportedpublic record, Form ADV, Mar 22, 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
- $44.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026