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
P••• I••••••••• A•••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape May 24, 2024 · 5 filings
SEC status approved since Jul 1, 2024
RAUM
$235M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
99%
$231M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$235M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$235M as of Mar 25, 2026
Mar 20, 2025$140M then
HNW client RAUM$225M as of Mar 25, 2026
Mar 20, 2025$126M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 20, 20251 then
Employees (5.A)2 as of Mar 25, 2026
Mar 20, 20252 then
Private funds: no history
RAUM +68% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $235MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +68%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $60,204, 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$225M96%
- Individuals$6.5M2.8%
- Charitable organizations$3.5M1.5%
- Individual clients
- 14reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 195reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60,204 for 1 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A•••• M•••••• | Venice, Fl | Dec 8, 2025 | 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R••••••• A•••• · Ceo, Cco, Cfo, Coo, Clocontrolsince 01/1994 · owns 75% or more
- M••••••• L•••• A••• · Ownersince 01/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
- R•••••• M••••••insurancey
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 25, 2026HNW RAUM per HNW client of $8,984,232 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.4 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
- custody status changedChange between filings · filing Mar 25, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-20, yes on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,678)
- RAUM up 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $139,558,385 to $234,624,302 (+68.0%) between the annual amendments of 2025-03-20 and 2026-03-25; the peer median change was +15.0% (4549 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 98% percentile
- business activity changedChange between filings · filing Mar 25, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-20, yes on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 196 to 195Mar 20, 2025 to Mar 25, 2026
- Advisory activities · 2 to 3Mar 20, 2025 to Mar 25, 2026
- HNW clients · 16 to 25Mar 20, 2025 to Mar 25, 2026
- Individual clients · 21 to 14Mar 20, 2025 to Mar 25, 2026
- Assets in custody · unset to 60204.0Mar 20, 2025 to Mar 25, 2026
- Custody of client assets · false to trueMar 20, 2025 to Mar 25, 2026
- Discretionary RAUM · $103M to $153MMar 20, 2025 to Mar 25, 2026
- HNW RAUM · $126M to $225MMar 20, 2025 to Mar 25, 2026
- Individual RAUM · $9.9M to $6.5MMar 20, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $36.2M to $81.7MMar 20, 2025 to Mar 25, 2026
- RAUM · $140M to $235MMar 20, 2025 to Mar 25, 2026
- Accounts · 173 to 196Aug 14, 2024 to Mar 20, 2025
- HNW clients · 17 to 16Aug 14, 2024 to Mar 20, 2025
- Individual clients · 23 to 21Aug 14, 2024 to Mar 20, 2025
- Financial planning clients · unset to 1-10Aug 14, 2024 to Mar 20, 2025
- Discretionary RAUM · $96.2M to $103MAug 14, 2024 to Mar 20, 2025
- HNW RAUM · $114M to $126MAug 14, 2024 to Mar 20, 2025
- Individual RAUM · $13.4M to $9.9MAug 14, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $34.3M to $36.2MAug 14, 2024 to Mar 20, 2025
- RAUM · $130M to $140MAug 14, 2024 to Mar 20, 2025
- Other offices · 0 to 1May 24, 2024 to Jun 14, 2024
Signals
1 dated events
- P••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 24, 2024 · 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
- Business phone
- 719-260-0660reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 719-260-6475reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P•••INVESTMENTADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 719-260-6475reportedpublic record, Form ADV, Mar 25, 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
- $235Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026