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
I••••• A••••••• S•••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Mar 7, 2012 · 21 filings
SEC status approved since Apr 7, 2025
RAUM
$109M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.4M
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
21 filings and snapshots on the tape
RAUM$109M as of Jul 16, 2026
Mar 7, 2012$200M then
HNW client RAUM$35.2M as of Jul 16, 2026
Mar 22, 2018$50.0M then
State-registered IARs (5.B.3)2 as of Jul 16, 2026
Mar 7, 20120 then
Employees (5.A)2 as of Jul 16, 2026
Mar 20, 201310 then
Private funds: no history
RAUM +7.5% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jul 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $36.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $208,208derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -35%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $109M, 380 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
- Individuals$74.1M68%
- High-net-worth individuals$35.2M32%
- Individual clients
- 359reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 525reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $109M for 380 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• G•••• S•••••• | Winter Haven, Fl | Nov 4, 2008 | 39 y | 3 |
| D•••• M•••• S•••••• | Winter Haven, Fl | Sep 15, 2009 | 39 y | 4 |
| T•••• K••• A••••••• | Winter Haven, Fl | Sep 11, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- T•••• M•••••• S•••••• to T•• N•••• S••••••••• G••••• L••Dec 16, 2024 · RIA to RIA
- D•••• M•••••• B•••• to I•••••••• C•••••• A•••••••May 24, 2013 · Other
- J•••••• L••• T••••••• to A••••••••• F•••••••• S•••••••• L••Dec 3, 2012 · Other
- N•••••• S•••• T••••••• to I•••••••• C•••••• A•••••••Feb 2, 2012 · Other
- B••••• T•••• M•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 25, 2011 · Other
- E•••• A•••• T••••• to B••••••••• I••••••••• A••••••• S•••••••Aug 21, 2009 · Other
- J•••• L••• P••••••• to I•••••••• C•••••• A•••••••Jan 20, 2009 · Other
Joined, latest
- D•••• M•••• S•••••• from I•••••••• C•••••• A•••••••Sep 15, 2009 · Other
- B••••• T•••• M•••••••• from I•••••••• C•••••• A•••••••Sep 9, 2009 · Other
- J•••••• L••• T••••••• from I•••••••• C•••••• A•••••••Feb 26, 2009 · Other
- M•••••• G•••• S•••••• from I•••••••• C•••••• A•••••••Nov 4, 2008 · Other
- E•••• A•••• T••••• from I•••••••• C•••••• A•••••••Jan 4, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• M••••••• G•••• · Chief Compliance Officer/Managing Membercontrolsince 10/2008 · owns 75% or more
Related persons
Schedule D 7.A
- I••••• F•••••••• G••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winter Haven, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 20, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $101,679,288 to $109,309,178, advisors 2 to 2, private clients 583 to 380, offices 0 to 0 (2025-02-26 to 2026-02-20)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 790 to 525Feb 26, 2025 to Feb 20, 2026
- HNW clients · 13 to 21Feb 26, 2025 to Feb 20, 2026
- Individual clients · 570 to 359Feb 26, 2025 to Feb 20, 2026
- Assets in custody · $102M to $109MFeb 26, 2025 to Feb 20, 2026
- Financial planning clients · 26-50 to 51-100Feb 26, 2025 to Feb 20, 2026
- Discretionary RAUM · $98.4M to $106MFeb 26, 2025 to Feb 20, 2026
- HNW RAUM · $26.8M to $35.2MFeb 26, 2025 to Feb 20, 2026
- Individual RAUM · $74.9M to $74.1MFeb 26, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $3.3M to $2.9MFeb 26, 2025 to Feb 20, 2026
- RAUM · $102M to $109MFeb 26, 2025 to Feb 20, 2026
- Accounts · 347 to 790Oct 24, 2019 to Feb 26, 2025
- Advisory employees · 5 to 2Oct 24, 2019 to Feb 26, 2025
- BD registered reps · 5 to 2Oct 24, 2019 to Feb 26, 2025
- Individual clients · 334 to 570Oct 24, 2019 to Feb 26, 2025
- Assets in custody · $0 to $102MOct 24, 2019 to Feb 26, 2025
- Employees · 5 to 2Oct 24, 2019 to Feb 26, 2025
- Financial planning clients · 251-500 to 26-50Oct 24, 2019 to Feb 26, 2025
- State-registered IARs · 5 to 2Oct 24, 2019 to Feb 26, 2025
- Discretionary RAUM · $80.6M to $98.4MOct 24, 2019 to Feb 26, 2025
- HNW RAUM · $25.0M to $26.8MOct 24, 2019 to Feb 26, 2025
- Individual RAUM · $55.6M to $74.9MOct 24, 2019 to Feb 26, 2025
- Non-discretionary RAUM · $0 to $3.3MOct 24, 2019 to Feb 26, 2025
- RAUM · $80.6M to $102MOct 24, 2019 to Feb 26, 2025
- Assets in custody · unset to 0.0Mar 28, 2019 to May 13, 2019
- Custody of client assets · false to trueMar 28, 2019 to May 13, 2019
- Accounts · 400 to 347Nov 5, 2018 to Mar 28, 2019
- BD registered reps · 4 to 5Nov 5, 2018 to Mar 28, 2019
- HNW clients · 100 to 13Nov 5, 2018 to Mar 28, 2019
- Individual clients · 300 to 334Nov 5, 2018 to Mar 28, 2019
- Discretionary RAUM · $100M to $80.6MNov 5, 2018 to Mar 28, 2019
- HNW RAUM · $50.0M to $25.0MNov 5, 2018 to Mar 28, 2019
- Individual RAUM · $55.0M to $55.6MNov 5, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $5.0M to $0Nov 5, 2018 to Mar 28, 2019
- RAUM · $105M to $80.6MNov 5, 2018 to Mar 28, 2019
- Accounts · 500 to 400Dec 4, 2017 to Mar 22, 2018
- BD registered reps · 5 to 4Dec 4, 2017 to Mar 22, 2018
- HNW clients · unset to 100.0Dec 4, 2017 to Mar 22, 2018
- Individual clients · unset to 300.0Dec 4, 2017 to Mar 22, 2018
- Discretionary RAUM · $110M to $100MDec 4, 2017 to Mar 22, 2018
- HNW RAUM · unset to 50000000.0Dec 4, 2017 to Mar 22, 2018
Signals
1 dated events
- T•••• M•••••• S•••••• left I••••• A••••••• S•••••••• L•• for T•• N•••• S••••••••• G••••• L•• (registered 2024-11-15)Dec 16, 2024 · Advisor changed firm · 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 email
- t•••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d•••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a•••••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- g•••••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j•••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 863-326-9833reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-425-8242reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 863-875-1855reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- I•••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 863-326-9833reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- i•••••••••.comreportedpublished 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
- $36.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026