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

U•••••• W••••• P•••••••

Former SEC-registered adviserJacksonville Beach, FloridaCRD 123748SEC 801-61563IAPD
Legal name T•• U•••••• F•••••••• G••••• I•••
Latest filing Dec 3, 2021
First filing on the tape Mar 1, 2012 · 35 filings
RAUM
$582M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$581M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$582M as of Mar 17, 2021
Mar 1, 2012$119M then
HNW client RAUM$514M as of Mar 17, 2021
Feb 26, 2018$305M then
State-registered IARs (5.B.3)5 as of Mar 17, 2021
Mar 1, 20120 then
Employees (5.A)10 as of Mar 17, 2021
Feb 8, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year+11% a year over threeIARs 5 to 5offices 1 to 0
Practice profile
derived from the filing of Dec 3, 2021; every figure names its basis
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$717,032derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
Wrap fee program
$582MreportedItem 5.I
Custody
$102M, 106 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$514M88%
  • Individuals$67.3M12%
  • Corporations and businesses$1.4M0.2%
Individual clients
153reported
HNW clients
173reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
812reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$102M for 106 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••• C••••• · Chief Compliance Officercontrol
      since 03/2020 · owns less than 5%
    • U••••••• G••••• M•••••• · Presidentcontrol
      since 10/2002 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 831 to 812
      Nov 30, 2020 to Mar 17, 2021
    • BD registered reps · 1 to 0
      Nov 30, 2020 to Mar 17, 2021
    • HNW clients · 154 to 173
      Nov 30, 2020 to Mar 17, 2021
    • Individual clients · 177 to 153
      Nov 30, 2020 to Mar 17, 2021
    • Assets in custody · $61.0M to $102M
      Nov 30, 2020 to Mar 17, 2021
    • Other offices · 1 to 0
      Nov 30, 2020 to Mar 17, 2021
    • Discretionary RAUM · $488M to $575M
      Nov 30, 2020 to Mar 17, 2021
    • HNW RAUM · $415M to $514M
      Nov 30, 2020 to Mar 17, 2021
    • Individual RAUM · $73.9M to $67.3M
      Nov 30, 2020 to Mar 17, 2021
    • Non-discretionary RAUM · $3.4M to $7.1M
      Nov 30, 2020 to Mar 17, 2021
    • RAUM · $491M to $582M
      Nov 30, 2020 to Mar 17, 2021
    • Accounts · 779 to 831
      Oct 10, 2019 to Mar 16, 2020
    • Advisory employees · 6 to 5
      Oct 10, 2019 to Mar 16, 2020
    • Business name · U•••••• B•••• W••••• A••••••• to U•••••• W••••• P•••••••
      Oct 10, 2019 to Mar 16, 2020
    • HNW clients · 144 to 154
      Oct 10, 2019 to Mar 16, 2020
    • Individual clients · 216 to 177
      Oct 10, 2019 to Mar 16, 2020
    • Assets in custody · $17.1M to $61.0M
      Oct 10, 2019 to Mar 16, 2020
    • Employees · 11 to 10
      Oct 10, 2019 to Mar 16, 2020
    • State-registered IARs · 6 to 5
      Oct 10, 2019 to Mar 16, 2020
    • Discretionary RAUM · $377M to $488M
      Oct 10, 2019 to Mar 16, 2020
    • HNW RAUM · $314M to $415M
      Oct 10, 2019 to Mar 16, 2020
    • Individual RAUM · $71.9M to $73.9M
      Oct 10, 2019 to Mar 16, 2020
    • Non-discretionary RAUM · $9.1M to $3.4M
      Oct 10, 2019 to Mar 16, 2020
    • RAUM · $386M to $491M
      Oct 10, 2019 to Mar 16, 2020
    • Accounts · 715 to 779
      Jan 15, 2019 to Mar 21, 2019
    • Advisory activities · 3 to 4
      Jan 15, 2019 to Mar 21, 2019
    • BD registered reps · 7 to 1
      Jan 15, 2019 to Mar 21, 2019
    • HNW clients · 175 to 144
      Jan 15, 2019 to Mar 21, 2019
    • Individual clients · 540 to 216
      Jan 15, 2019 to Mar 21, 2019
    • Assets in custody · unset to 17070366.0
      Jan 15, 2019 to Mar 21, 2019
    • Custody of client assets · false to true
      Jan 15, 2019 to Mar 21, 2019
    • Employees · 7 to 11
      Jan 15, 2019 to Mar 21, 2019
    • Other offices · 0 to 1
      Jan 15, 2019 to Mar 21, 2019
    • Discretionary RAUM · $357M to $377M
      Jan 15, 2019 to Mar 21, 2019
    • HNW RAUM · $305M to $314M
      Jan 15, 2019 to Mar 21, 2019
    • Individual RAUM · $118M to $71.9M
      Jan 15, 2019 to Mar 21, 2019
    • Non-discretionary RAUM · $65.3M to $9.1M
      Jan 15, 2019 to Mar 21, 2019
    • RAUM · $423M to $386M
      Jan 15, 2019 to Mar 21, 2019
    • Accounts · 610 to 715
      Aug 1, 2017 to Feb 26, 2018
    • Advisory employees · 5 to 6
      Aug 1, 2017 to Feb 26, 2018
    Signals
    5 dated events
    • U•••••• W••••• P•••••••'s advisors moved to U•••••• W••••• P••••••• (Jacksonville Beach, FL): 4 of 5 registered, on the same day
      Jan 3, 2022 · Firm absorbed (people side) · derived
    • Carrie King (Chief Compliance Officer) appeared on Schedule A of U•••••• W••••• P•••••••
      Mar 17, 2021 · Control person joined · fact
    • Ann Deanna Brown (Shareholder) no longer on Schedule A of U•••••• W••••• P••••••• (listed 2020-05-29, absent 2020-10-09)
      Oct 9, 2020 · Control person left · inference
    • U•••••• W••••• P••••••• reported RAUM $491.0M, up 27% from $386.0M (2019-10-10 to 2020-03-16)
      Mar 16, 2020 · RAUM change · derived
    • U•••••• W••••• P••••••• reported RAUM $422.6M, up 43% from $296.0M (2017-08-01 to 2018-02-26)
      Feb 26, 2018 · 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.
    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