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
R••••• • R•••••• W••••• A•••••••• I•••
Latest filing Mar 10, 2026
First filing on the tape Mar 7, 2012 · 26 filings
SEC status approved since Sep 16, 2004
RAUM
$918M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$918M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$918M as of Mar 10, 2026
Mar 7, 2012$117M then
HNW client RAUM$862M as of Mar 10, 2026
Mar 23, 2018$228M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Mar 28, 20132 then
Employees (5.A)7 as of Mar 10, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 10, 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
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $918M, 332 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$862M94%
- Individuals$55.8M6.1%
- Individual clients
- 136reported
- HNW clients
- 196reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 874reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $918M for 332 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••• F•••••••• R••••••Certified Financial Planner | Celebration, Fl | Mar 19, 2001 | 34 y | 0 |
| M•••••• D••• R••••• | Celebration, Fl | Dec 31, 2001 | 28 y | 0 |
| J••• Q•••Certified Financial Planner | Herndon, Va | Aug 2, 2023 | 14 y | 0 |
| D••••• W•••• D••• | Celebration, Fl | Aug 21, 2023 | 10 y | 2 |
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
- D••••• W•••• D••• from A• W•••••Aug 21, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• M•••••• S•••• · Chief Compliance Officercontrolsince 01/2014 · owns less than 5%
- R•••••• M••••••• D••• · Chief Executive Officercontrolsince 06/1999 · owns 50% to 75%
- R••••••• W••••• F•••••••• · Presidentcontrolsince 06/1999 · 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 |
|---|---|---|---|---|---|
| Celebration, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 848 to 874Dec 1, 2025 to Mar 10, 2026
- HNW clients · 189 to 196Dec 1, 2025 to Mar 10, 2026
- Individual clients · 129 to 136Dec 1, 2025 to Mar 10, 2026
- Assets in custody · $820M to $918MDec 1, 2025 to Mar 10, 2026
- Discretionary RAUM · $820M to $914MDec 1, 2025 to Mar 10, 2026
- HNW RAUM · $768M to $862MDec 1, 2025 to Mar 10, 2026
- Individual RAUM · $52.8M to $55.8MDec 1, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $0 to $4.2MDec 1, 2025 to Mar 10, 2026
- RAUM · $820M to $918MDec 1, 2025 to Mar 10, 2026
- Financial planning clients · 101-250 to 101-250Mar 10, 2025 to Jul 30, 2025
- Other offices · 0 to 1Mar 10, 2025 to Jul 30, 2025
- Accounts · 808 to 848Nov 13, 2024 to Mar 10, 2025
- Business name · R••••• • R•••••• I••••••••• M••••••••• I••• to R••••• • R•••••• W••••• A•••••••• I•••Nov 13, 2024 to Mar 10, 2025
- HNW clients · 85 to 189Nov 13, 2024 to Mar 10, 2025
- Individual clients · 255 to 129Nov 13, 2024 to Mar 10, 2025
- Assets in custody · $762M to $820MNov 13, 2024 to Mar 10, 2025
- Legal name · R••••• • R•••••• I••••••••• M••••••••• I••• to R••••• • R•••••• W••••• A•••••••• I•••Nov 13, 2024 to Mar 10, 2025
- Discretionary RAUM · $762M to $820MNov 13, 2024 to Mar 10, 2025
- HNW RAUM · $655M to $768MNov 13, 2024 to Mar 10, 2025
- Individual RAUM · $106M to $52.8MNov 13, 2024 to Mar 10, 2025
- RAUM · $762M to $820MNov 13, 2024 to Mar 10, 2025
- Accounts · 765 to 808Apr 28, 2023 to Mar 12, 2024
- HNW clients · 70 to 85Apr 28, 2023 to Mar 12, 2024
- Individual clients · 285 to 255Apr 28, 2023 to Mar 12, 2024
- Assets in custody · $677M to $762MApr 28, 2023 to Mar 12, 2024
- Employees · 6 to 7Apr 28, 2023 to Mar 12, 2024
- State-registered IARs · 2 to 4Apr 28, 2023 to Mar 12, 2024
- Discretionary RAUM · $677M to $762MApr 28, 2023 to Mar 12, 2024
- HNW RAUM · $559M to $655MApr 28, 2023 to Mar 12, 2024
- Individual RAUM · $118M to $106MApr 28, 2023 to Mar 12, 2024
- RAUM · $677M to $762MApr 28, 2023 to Mar 12, 2024
- Accounts · 775 to 765Aug 2, 2022 to Mar 24, 2023
- HNW clients · 120 to 70Aug 2, 2022 to Mar 24, 2023
- Individual clients · 189 to 285Aug 2, 2022 to Mar 24, 2023
- Assets in custody · unset to 677112551.0Aug 2, 2022 to Mar 24, 2023
- Custody of client assets · false to trueAug 2, 2022 to Mar 24, 2023
- Employees · 7 to 6Aug 2, 2022 to Mar 24, 2023
- Discretionary RAUM · $742M to $677MAug 2, 2022 to Mar 24, 2023
- HNW RAUM · $691M to $559MAug 2, 2022 to Mar 24, 2023
- Individual RAUM · $51.5M to $118MAug 2, 2022 to Mar 24, 2023
Signals
1 dated events
- R••••• • R•••••• W••••• A•••••••• I••• reported RAUM $742.3M, up 100% from $371.4M (2021-03-11 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
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
- R•••••R••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 727-344-7711reportedpublic record, Form ADV, Mar 10, 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
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026