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
A•• I••••••••• M••••••••• I•••
Latest filing Jan 31, 2025
First filing on the tape Mar 6, 2012 · 17 filings
SEC status approved since Jun 7, 2021
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$190M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$200M as of Jan 31, 2025
Mar 6, 2012$62.7M then
HNW client RAUM$153M as of Jan 31, 2025
Feb 11, 2022$116M then
State-registered IARs (5.B.3)2 as of Jan 31, 2025
Mar 6, 20120 then
Employees (5.A)3 as of Jan 31, 2025
Feb 11, 20223 then
Private funds: no history
RAUM +12% over the last fiscal year+8.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 31, 2025; every figure names its basis
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $578,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $199M, 139 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$153M76%
- Individuals$37.4M19%
- Charitable organizations$9.6M4.8%
- Individual clients
- 85reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 346reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $199M for 139 clientsreported
- Compensation
- % of AUMreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- R•••••• A• A•• to C••••••• I••••••••• C••••••Oct 3, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• R••••••• A• · President, Director, Shareholdercontrolsince 09/1999 · owns 25% to 50%
- A••• W••••• W••••• · Shareholdercontrolsince 09/1999 · owns 25% to 50%
- C••••••• R•••••• W•••••• · Chief Compliance Officer, Vice President, Shareholdercontrolsince 10/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Winter Park, Fl · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 349 to 346Jan 30, 2024 to Jan 31, 2025
- HNW clients · 43 to 51Jan 30, 2024 to Jan 31, 2025
- Individual clients · 93 to 85Jan 30, 2024 to Jan 31, 2025
- Assets in custody · $178M to $199MJan 30, 2024 to Jan 31, 2025
- Discretionary RAUM · $179M to $200MJan 30, 2024 to Jan 31, 2025
- HNW RAUM · $135M to $153MJan 30, 2024 to Jan 31, 2025
- Individual RAUM · $37.4M to $37.4MJan 30, 2024 to Jan 31, 2025
- RAUM · $179M to $200MJan 30, 2024 to Jan 31, 2025
- Accounts · 344 to 349Nov 7, 2023 to Jan 30, 2024
- HNW clients · 37 to 43Nov 7, 2023 to Jan 30, 2024
- Individual clients · 98 to 93Nov 7, 2023 to Jan 30, 2024
- Assets in custody · $158M to $178MNov 7, 2023 to Jan 30, 2024
- Employees · 2 to 3Nov 7, 2023 to Jan 30, 2024
- Discretionary RAUM · $159M to $179MNov 7, 2023 to Jan 30, 2024
- HNW RAUM · $115M to $135MNov 7, 2023 to Jan 30, 2024
- Individual RAUM · $39.4M to $37.4MNov 7, 2023 to Jan 30, 2024
- RAUM · $159M to $179MNov 7, 2023 to Jan 30, 2024
- Accounts · 325 to 344Aug 5, 2022 to Feb 10, 2023
- HNW clients · 42 to 37Aug 5, 2022 to Feb 10, 2023
- Individual clients · 86 to 98Aug 5, 2022 to Feb 10, 2023
- Assets in custody · $157M to $158MAug 5, 2022 to Feb 10, 2023
- Employees · 3 to 2Aug 5, 2022 to Feb 10, 2023
- Discretionary RAUM · $157M to $159MAug 5, 2022 to Feb 10, 2023
- HNW RAUM · $116M to $115MAug 5, 2022 to Feb 10, 2023
- Individual RAUM · $37.3M to $39.4MAug 5, 2022 to Feb 10, 2023
- Non-discretionary RAUM · $729,161 to $0Aug 5, 2022 to Feb 10, 2023
- RAUM · $158M to $159MAug 5, 2022 to Feb 10, 2023
- Accounts · 340 to 325Jan 4, 2022 to Feb 11, 2022
- HNW clients · 40 to 42Jan 4, 2022 to Feb 11, 2022
- Individual clients · 90 to 86Jan 4, 2022 to Feb 11, 2022
- Assets in custody · unset to 157311611.0Jan 4, 2022 to Feb 11, 2022
- Custody of client assets · false to trueJan 4, 2022 to Feb 11, 2022
- Financial planning clients · 1-10 to 0Jan 4, 2022 to Feb 11, 2022
- Discretionary RAUM · $137M to $157MJan 4, 2022 to Feb 11, 2022
- HNW RAUM · $97.9M to $116MJan 4, 2022 to Feb 11, 2022
- Individual RAUM · $35.7M to $37.3MJan 4, 2022 to Feb 11, 2022
- Non-discretionary RAUM · $0 to $729,161Jan 4, 2022 to Feb 11, 2022
- RAUM · $137M to $158MJan 4, 2022 to Feb 11, 2022
- Assets in custody · 136772933.0 to unsetMay 7, 2021 to Jun 25, 2021
- Custody of client assets · true to falseMay 7, 2021 to Jun 25, 2021
Signals
4 dated events
- A•• I••••••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $200.0M)Dec 20, 2025 · Left the SEC roster · derived
- R•••••• A• A•• left A•• I••••••••• M••••••••• I••• for C••••••• I••••••••• C•••••• (registered 2025-10-14)Oct 3, 2025 · Advisor changed firm · fact
- William Robert Coleman (Vice President) appeared on Schedule A of A•• I••••••••• M••••••••• I•••Feb 10, 2023 · Control person joined · fact
- A•• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 7, 2021 · 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.
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