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

C••••• 1•• A••••••• G••••

Former SEC-registered adviserClearwater, FloridaCRD 113085SEC 801-60336IAPD
Legal name C••••• F•••• A•••••••••
Latest filing Jan 15, 2013
First filing on the tape Jan 20, 2012 · 5 filings
RAUM
$141M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$141M as of Jan 2, 2013
Jan 20, 2012$98.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 5
Employees (5.A): 8
Private funds: no history
RAUM +43% over the last fiscal year
Practice profile
derived from the filing of Jan 15, 2013; every figure names its basis
RAUM per advisor
$28.1MderivedRAUM 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
$808,768derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+43%derivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$2,000, 2 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
  • 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
174reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$2,000 for 2 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••• M•••••••• L••• · Presidentcontrol
    since 01/2013 · owns less than 5%
  • M•••••• V•••• · Chief Compliance Officercontrol
    since 09/2004 · owns less than 5%
  • P•••••••• C••••• S•••• · Chief Executive Officercontrol
    since 01/2013 · owns 75% or more
  • S••••• D••••• G••••• · Chief Operations Officer
    since 01/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Hattiesburg, MS
What changed
consecutive filings, newest first
  • Business name · C••••• F•••• A••••••••• to C••••• 1•• A••••••• G••••
    Jan 2, 2013 to Jan 8, 2013
  • Accounts · 73 to 174
    Jan 20, 2012 to Jan 2, 2013
  • Advisory employees · unset to 5.0
    Jan 20, 2012 to Jan 2, 2013
  • BD registered reps · unset to 1.0
    Jan 20, 2012 to Jan 2, 2013
  • Commission compensation · true to false
    Jan 20, 2012 to Jan 2, 2013
  • Assets in custody · $250 to $2,000
    Jan 20, 2012 to Jan 2, 2013
  • Employees · unset to 8.0
    Jan 20, 2012 to Jan 2, 2013
  • Financial planning clients · 51-100 to 101-250
    Jan 20, 2012 to Jan 2, 2013
  • State-registered IARs · unset to 5.0
    Jan 20, 2012 to Jan 2, 2013
  • Discretionary RAUM · $98.1M to $128M
    Jan 20, 2012 to Jan 2, 2013
  • Non-discretionary RAUM · $0 to $12.4M
    Jan 20, 2012 to Jan 2, 2013
  • RAUM · $98.1M to $141M
    Jan 20, 2012 to Jan 2, 2013
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