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
W•••••• P••••• A•••••••• L•••••
Latest filing Mar 31, 2026
First filing on the tape Oct 1, 2013 · 31 filings
SEC status approved since Oct 4, 2013
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$149M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$173M as of Mar 31, 2026
Feb 24, 2014$102M then
HNW client RAUM$127M as of Mar 31, 2026
Mar 31, 2018$140M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 24, 20143 then
Employees (5.A)2 as of Mar 31, 2026
Feb 24, 20145 then
Private funds: no history
RAUM -1.8% over the last fiscal year+9.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 208derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $531,025derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companies, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M73%
- Investment companies$24.2M14%
- Individuals$22.3M13%
- Individual clients
- 183reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 326reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.14 institutional_share=0.0 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 |
|---|---|---|---|---|
| C•••••• S•••••••• S•••• | Boca Raton, Fl | Mar 28, 2022 | 46 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
- D•••••• D••• A•••• to O•••• F•• I•••Aug 2, 2005 · Other
Joined, latest
- D•••••• D••• A•••• from E•••••••• A•••••••Nov 4, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• C••••••• S•••••••• · Managing Member/Ccocontrolsince 08/1989 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 199 to 326Apr 1, 2025 to Mar 31, 2026
- HNW clients · 27 to 25Apr 1, 2025 to Mar 31, 2026
- Individual clients · 171 to 183Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $176M to $173MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $128M to $127MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $24.7M to $22.3MApr 1, 2025 to Mar 31, 2026
- RAUM · $176M to $173MApr 1, 2025 to Mar 31, 2026
- Accounts · 410 to 199Mar 21, 2024 to Apr 1, 2025
- HNW clients · 18 to 27Mar 21, 2024 to Apr 1, 2025
- Individual clients · 203 to 171Mar 21, 2024 to Apr 1, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2024 to Apr 1, 2025
- Discretionary RAUM · $158M to $176MMar 21, 2024 to Apr 1, 2025
- HNW RAUM · $98.2M to $128MMar 21, 2024 to Apr 1, 2025
- Individual RAUM · $38.6M to $24.7MMar 21, 2024 to Apr 1, 2025
- RAUM · $158M to $176MMar 21, 2024 to Apr 1, 2025
- Accounts · 201 to 410Jul 11, 2023 to Mar 21, 2024
- Individual clients · 182 to 203Jul 11, 2023 to Mar 21, 2024
- Discretionary RAUM · $132M to $158MJul 11, 2023 to Mar 21, 2024
- HNW RAUM · $74.2M to $98.2MJul 11, 2023 to Mar 21, 2024
- Individual RAUM · $37.0M to $38.6MJul 11, 2023 to Mar 21, 2024
- RAUM · $132M to $158MJul 11, 2023 to Mar 21, 2024
- Accounts · 465 to 201Nov 4, 2022 to Mar 31, 2023
- HNW clients · 147 to 18Nov 4, 2022 to Mar 31, 2023
- Individual clients · 51 to 182Nov 4, 2022 to Mar 31, 2023
- Discretionary RAUM · $252M to $132MNov 4, 2022 to Mar 31, 2023
- HNW RAUM · $20.0M to $74.2MNov 4, 2022 to Mar 31, 2023
- Individual RAUM · $182M to $37.0MNov 4, 2022 to Mar 31, 2023
- RAUM · $252M to $132MNov 4, 2022 to Mar 31, 2023
- Financial planning clients · 1-10 to 101-250Apr 21, 2022 to Apr 22, 2022
- Accounts · 524 to 465Apr 14, 2021 to Mar 30, 2022
- HNW clients · 46 to 147Apr 14, 2021 to Mar 30, 2022
- Individual clients · 118 to 51Apr 14, 2021 to Mar 30, 2022
- Discretionary RAUM · $232M to $252MApr 14, 2021 to Mar 30, 2022
- HNW RAUM · $162M to $20.0MApr 14, 2021 to Mar 30, 2022
- Individual RAUM · $22.9M to $182MApr 14, 2021 to Mar 30, 2022
- RAUM · $232M to $252MApr 14, 2021 to Mar 30, 2022
- HNW RAUM · $161M to $162MMar 29, 2021 to Apr 14, 2021
- Individual RAUM · $24.1M to $22.9MMar 29, 2021 to Apr 14, 2021
- Advisory employees · 3 to 2Sep 22, 2020 to Mar 29, 2021
- HNW clients · 44 to 46Sep 22, 2020 to Mar 29, 2021
Signals
3 dated events
- D•••••• D••• A•••• no longer registered at W•••••• P••••• A•••••••• L•••••; no later IA registration on IAPDDec 31, 2025 · Advisor departure · fact
- W•••••• P••••• A•••••••• L••••• reported RAUM $131.7M, down 48% from $251.9M (2022-11-04 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- W•••••• P••••• A•••••••• L••••• filed its initial SEC registration (Form ADV)Oct 1, 2013 · 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
- 800-950-9112reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-367-9111reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- thewinningpoints.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026