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.
SEC-registered adviser
Moseley Investment Management, Inc.
Latest filing Mar 17, 2026
First filing on the tape Mar 14, 2012 · 28 filings
SEC status approved since Mar 7, 2016
RAUM
$457M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$441M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$457M as of Mar 17, 2026
Mar 14, 2012$53.7M then
HNW client RAUM$334M as of Mar 17, 2026
Mar 23, 2018$118M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Mar 14, 20120 then
Employees (5.A)7 as of Mar 17, 2026
Mar 27, 20177 then
Private funds: no history
RAUM +11% over the last fiscal year+21% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 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
- 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
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $488,587derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $76.4M, 84 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$334M73%
- Individuals$107M23%
- Pension and profit-sharing plans$9.5M2.1%
- Corporations and businesses$6.2M1.3%
- Individual clients
- 246reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 935reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.4M for 84 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| Susan Shepard Moseley | Sarasota, Fl | Nov 12, 1999 | 43 y | 1 |
| Ryan Thomas MoseleyChartered Financial Analyst | Bradenton, Fl | Jul 17, 2014 | 18 y | 0 |
| Dina L Villalobos | Bradenton, Fl | Jan 1, 2025 | 19 y | 0 |
| Laurie L TinnellCertified Financial Planner | Evergreen, Co | Mar 25, 2025 | 22 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
- Eva M Howland to White Lighthouse Investment Management, Inc.Jan 2, 2025 · RIA to RIA
- Kenneth John Hargreaves to Osaic Wealth, Inc.Mar 12, 2012 · Other
- Derek Ryan Williams to Williams Wealth Management Group, Inc.Aug 26, 2009 · Other
- Michael Joseph Palen to Cetera Advisor Networks LLCNov 23, 2005 · Other
Joined, latest
- Eva M Howland from Edward JonesJan 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- Kenneth John Hargreaves from Ameriprise Financial Services, LLCDec 16, 2009 · Other
- Michael Joseph Palen from Osaic Wealth, Inc.Nov 21, 2003 · Other
- Derek Ryan Williams from Osaic Wealth, Inc.Apr 26, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Shepard Susan Moseley · Presidentcontrolsince 01/1993 · owns 75% or more
- Thomas Ryan Moseley · Vice Presidentsince 11/2018 · owns 10% to 25%
- L Dina Villalobos · Ccosince 01/2016 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Bradention, Fl · principal | 4 | 0 | 0 | ||
| Sarasota, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sarasota, FL3 employees
What changed
consecutive filings, newest first
- Accounts · 898 to 935May 21, 2025 to Mar 17, 2026
- Corporate clients · unset to 5.0May 21, 2025 to Mar 17, 2026
- HNW clients · 116 to 113May 21, 2025 to Mar 17, 2026
- Individual clients · 255 to 246May 21, 2025 to Mar 17, 2026
- Assets in custody · $66.4M to $76.4MMay 21, 2025 to Mar 17, 2026
- Discretionary RAUM · $410M to $448MMay 21, 2025 to Mar 17, 2026
- HNW RAUM · $309M to $334MMay 21, 2025 to Mar 17, 2026
- Individual RAUM · $87.9M to $107MMay 21, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $839,396 to $9.2MMay 21, 2025 to Mar 17, 2026
- Pension RAUM · $8.0M to $9.5MMay 21, 2025 to Mar 17, 2026
- RAUM · $410M to $457MMay 21, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to May 21, 2025
- Accounts · 913 to 898May 16, 2024 to Mar 25, 2025
- Advisory employees · 5 to 3May 16, 2024 to Mar 25, 2025
- Corporate clients · 5.0 to unsetMay 16, 2024 to Mar 25, 2025
- HNW clients · 97 to 116May 16, 2024 to Mar 25, 2025
- Individual clients · 289 to 255May 16, 2024 to Mar 25, 2025
- Assets in custody · $58.1M to $66.4MMay 16, 2024 to Mar 25, 2025
- State-registered IARs · 6 to 4May 16, 2024 to Mar 25, 2025
- Other offices · 1 to 2May 16, 2024 to Mar 25, 2025
- Discretionary RAUM · $346M to $410MMay 16, 2024 to Mar 25, 2025
- HNW RAUM · $228M to $309MMay 16, 2024 to Mar 25, 2025
- Individual RAUM · $102M to $87.9MMay 16, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $5.6M to $839,396May 16, 2024 to Mar 25, 2025
- Pension RAUM · $6.8M to $8.0MMay 16, 2024 to Mar 25, 2025
- RAUM · $351M to $410MMay 16, 2024 to Mar 25, 2025
- Assets in custody · $55.5M to $58.1MMar 15, 2024 to May 13, 2024
- Accounts · 801 to 913Mar 6, 2023 to Mar 15, 2024
- Advisory activities · 4 to 3Mar 6, 2023 to Mar 15, 2024
- Corporate clients · unset to 5.0Mar 6, 2023 to Mar 15, 2024
- HNW clients · 98 to 97Mar 6, 2023 to Mar 15, 2024
- Individual clients · 257 to 289Mar 6, 2023 to Mar 15, 2024
- Assets in custody · $41.7M to $55.5MMar 6, 2023 to Mar 15, 2024
- Discretionary RAUM · $258M to $346MMar 6, 2023 to Mar 15, 2024
- HNW RAUM · $175M to $228MMar 6, 2023 to Mar 15, 2024
- Individual RAUM · $72.4M to $102MMar 6, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $0 to $5.6MMar 6, 2023 to Mar 15, 2024
- Pension RAUM · $5.1M to $6.8MMar 6, 2023 to Mar 15, 2024
- RAUM · $258M to $351MMar 6, 2023 to Mar 15, 2024
- Accounts · 786 to 801Apr 19, 2022 to Mar 6, 2023
Signals
2 dated events
- Eva M Howland left Moseley Investment Management, Inc. for White Lighthouse Investment Management, Inc. (registered 2025-02-05)Jan 2, 2025 · Advisor changed firm · fact
- Moseley Investment Management, Inc. filed its initial SEC registration (Form ADV)Feb 16, 2016 · 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 email
- info@moseleyinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dmalizia@moseleyinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- liz@moseleyinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lrichards@moseleyinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 941-746-1424reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 941-745-2799reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/MOSELEY-INVESTMENT-MANAGEMENT-INC-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- MOSELEYINVESTMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 941-745-2799reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- MOSELEYINVESTMENT.COM/teamreportedpublished by the firm, firm site, Sep 15, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026