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
F•••• A••••• F••••• O•••••
Legal name F•••• A••••• F••••• O••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 22, 2012 · 18 filings
SEC status approved since Aug 28, 2002
RAUM
$1.4B
reported, Item 5.F
Discretionary
17%
of RAUM
Private clients
99%
$1.3B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$338M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.4B as of Mar 16, 2026
Mar 22, 2012$141M then
HNW client RAUM$1.3B as of Mar 16, 2026
Mar 27, 2018$227M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 22, 20120 then
Employees (5.A)7 as of Mar 16, 2026
Mar 25, 20132 then
Private funds: no history
RAUM +49% over the last fiscal year+92% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 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
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $338MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $149MderivedHNW RAUM over HNW clients
- Average account
- $10.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 17%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $48.8M, 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
- 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)
- a related person has custody of client cash (9.B.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$1.3B99%
- Charitable organizations$11.0M0.8%
- Individual clients
- n/areported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 124reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.8M for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• J•••• S•••••••• | Naples, Fl | Nov 8, 2019 | 14 y | 2 |
| G••• B••••••• P•••• | Naples, Fl | Jun 29, 2021 | 22 y | 3 |
| D••••••• R••••••••• | Naples, Fl | Jun 30, 2023 | 35 y | 1 |
| C••••• J•••••• B••••• | Naples, Fl | Aug 10, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- T••••• J••• L••••••• to N•• E••• W•••••Mar 3, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••••••• R••••••••• from T••••• A••••••• S•••••••• I•••Jun 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- T••••• J••• L••••••• from U•• F•••••••• S••••••• I•••Jun 19, 2023 · Wirehouse to independent RIA
- G••• B••••••• P•••• from C•••••• W••••• A•••••••Jun 29, 2021 · Other
- K••• J•••• S•••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Nov 8, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• T••••••• J••• · Membercontrolsince 01/2006 · owns 50% to 75%
- P••••• G•••• B••••••• · Managing Membercontrolsince 12/2008 · owns 50% to 75%
- S••••••••• K•••• J•••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••••• M••••••••• L••pooled vehicle sponsory
- P•••••••• F••• A••••••••• L••pooled vehicle sponsory
- T•••••• J• C•••••••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naples, Fl · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $908,527,735 to $1,350,847,041 (+49.0%) between the annual amendments of 2025-03-26 and 2026-03-16; the peer median change was +17.0% (1298 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 115 to 124Mar 26, 2025 to Mar 16, 2026
- HNW clients · 7 to 9Mar 26, 2025 to Mar 16, 2026
- Discretionary RAUM · $167M to $230MMar 26, 2025 to Mar 16, 2026
- HNW RAUM · $903M to $1.3BMar 26, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $742M to $1.1BMar 26, 2025 to Mar 16, 2026
- RAUM · $909M to $1.4BMar 26, 2025 to Mar 16, 2026
- Accounts · 95 to 115Mar 23, 2024 to Mar 26, 2025
- HNW clients · 6 to 7Mar 23, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 23, 2024 to Mar 26, 2025
- Discretionary RAUM · $129M to $167MMar 23, 2024 to Mar 26, 2025
- HNW RAUM · $629M to $903MMar 23, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $504M to $742MMar 23, 2024 to Mar 26, 2025
- RAUM · $633M to $909MMar 23, 2024 to Mar 26, 2025
- Accounts · 104 to 95Mar 31, 2023 to Mar 20, 2024
- Advisory employees · 2 to 4Mar 31, 2023 to Mar 20, 2024
- HNW clients · 11 to 6Mar 31, 2023 to Mar 20, 2024
- Assets in custody · $43.4M to $48.8MMar 31, 2023 to Mar 20, 2024
- Employees · 6 to 7Mar 31, 2023 to Mar 20, 2024
- State-registered IARs · 2 to 3Mar 31, 2023 to Mar 20, 2024
- Discretionary RAUM · $158M to $129MMar 31, 2023 to Mar 20, 2024
- HNW RAUM · $176M to $629MMar 31, 2023 to Mar 20, 2024
- Individual RAUM · 1041209.0 to unsetMar 31, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $32.4M to $504MMar 31, 2023 to Mar 20, 2024
- RAUM · $191M to $633MMar 31, 2023 to Mar 20, 2024
- Accounts · 175 to 104Jan 13, 2023 to Mar 31, 2023
- Advisory employees · 3 to 2Jan 13, 2023 to Mar 31, 2023
- HNW clients · 12 to 11Jan 13, 2023 to Mar 31, 2023
- State-registered IARs · 3 to 2Jan 13, 2023 to Mar 31, 2023
- Discretionary RAUM · $272M to $158MJan 13, 2023 to Mar 31, 2023
- HNW RAUM · $308M to $176MJan 13, 2023 to Mar 31, 2023
- Individual RAUM · $1.9M to $1.0MJan 13, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $65.6M to $32.4MJan 13, 2023 to Mar 31, 2023
- RAUM · $337M to $191MJan 13, 2023 to Mar 31, 2023
- Advisory employees · 4 to 3Mar 31, 2022 to Jan 13, 2023
- Advisory activities · 3 to 4Mar 31, 2022 to Jan 13, 2023
- Employees · 7 to 6Mar 31, 2022 to Jan 13, 2023
- Accounts · 152 to 175Mar 31, 2021 to Mar 31, 2022
- HNW clients · 10 to 12Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $39.5M to $43.4MMar 31, 2021 to Mar 31, 2022
- State-registered IARs · 2 to 3Mar 31, 2021 to Mar 31, 2022
Signals
7 dated events
- F•••• A••••• F••••• O••••• reported RAUM $1.4B, up 49% from $908.5M (2025-03-26 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- T••••• J••• L••••••• left F•••• A••••• F••••• O••••• for N•• E••• W••••• (registered 2026-02-18)Mar 3, 2026 · Advisor changed firm · fact
- F•••• A••••• F••••• O••••• reported RAUM $908.5M, up 43% from $633.4M (2024-03-23 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- F•••• A••••• F••••• O••••• reported RAUM $633.4M, up 232% from $190.7M (2023-03-31 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- F•••• A••••• F••••• O••••• reported RAUM $190.7M, down 43% from $337.3M (2023-01-13 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Jason Kyle Shoemaker (Chief Compliance Officer) appeared on Schedule A of F•••• A••••• F••••• O•••••Jan 13, 2023 · Control person joined · fact
- William Craig Lyon (Managing Member/Chief Compliance Officer) no longer on Schedule A of F•••• A••••• F••••• O••••• (listed 2022-03-31, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- F•••• A••••• F••••• O••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 239-262-6300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/fifthavenuefamilyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- F••••A•••••FAMILY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 239-262-6300reportedpublic record, Form ADV, Mar 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
- $338Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026