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
C•••••• F•••••••• G••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 9, 2012 · 26 filings
SEC status approved since Apr 7, 2003
RAUM
$430M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$430M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$143M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$430M as of Mar 26, 2026
Mar 9, 2012$200M then
HNW client RAUM$408M as of Mar 26, 2026
Mar 21, 2018$282M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 9, 20120 then
Employees (5.A)6 as of Mar 26, 2026
Mar 12, 20135 then
Private funds: no history
RAUM +5.9% over the last fiscal year+7.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $997,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $45.0M, 20 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$408M95%
- Individuals$22.0M5.1%
- Individual clients
- 33reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 431reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.0M for 20 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C•••••• S••••Certified Financial Planner, Chartered Financial Analyst | Deerfield Beach, Fl | Mar 24, 2003 | 33 y | 0 |
| J•• L••••• S••••Certified Financial Planner | Deerfield Beach, Fl | Apr 7, 2003 | 41 y | 1 |
| S••••• L••• B••••••• | Deerfield Beach, Fl | Apr 6, 2020 | 19 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 headcount0 left over 36 months
Left, latest
- J•• S•••• A••• to S••••• F•••••••• A•••••••Nov 22, 2016 · Other
Joined, latest
- J•• L••••• S•••• from M••••• S•••••• C•••••••••Apr 7, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B••••• C•••••• · President / Ceo / Ccocontrolsince 02/2003 · owns 75% or more
- S••••• J••• L••••• · Vice President / Co-Chief Investment Officercontrolsince 10/1984 · owns less than 5%
- S••••• V•• · Secretary/Treasurercontrolsince 06/1990 · 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 |
|---|---|---|---|---|---|
| Deerfield Beach, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 425 to 431Mar 27, 2025 to Mar 26, 2026
- Corporate clients · 1 to 0Mar 27, 2025 to Mar 26, 2026
- HNW clients · 83 to 87Mar 27, 2025 to Mar 26, 2026
- Individual clients · 38 to 33Mar 27, 2025 to Mar 26, 2026
- Assets in custody · $31.9M to $45.0MMar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $406M to $430MMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $374M to $408MMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $25.4M to $22.0MMar 27, 2025 to Mar 26, 2026
- RAUM · $406M to $430MMar 27, 2025 to Mar 26, 2026
- Accounts · 431 to 425May 10, 2024 to Mar 27, 2025
- HNW clients · 75 to 83May 10, 2024 to Mar 27, 2025
- Individual clients · 46 to 38May 10, 2024 to Mar 27, 2025
- Assets in custody · $23.3M to $31.9MMay 10, 2024 to Mar 27, 2025
- Employees · 5 to 6May 10, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 11-25May 10, 2024 to Mar 27, 2025
- Discretionary RAUM · $376M to $406MMay 10, 2024 to Mar 27, 2025
- HNW RAUM · $337M to $374MMay 10, 2024 to Mar 27, 2025
- Individual RAUM · $32.8M to $25.4MMay 10, 2024 to Mar 27, 2025
- RAUM · $376M to $406MMay 10, 2024 to Mar 27, 2025
- Accounts · 436 to 431Jan 3, 2024 to Mar 18, 2024
- Individual clients · 45 to 46Jan 3, 2024 to Mar 18, 2024
- Assets in custody · $28.9M to $23.3MJan 3, 2024 to Mar 18, 2024
- Discretionary RAUM · $347M to $376MJan 3, 2024 to Mar 18, 2024
- HNW RAUM · $313M to $337MJan 3, 2024 to Mar 18, 2024
- Individual RAUM · $29.5M to $32.8MJan 3, 2024 to Mar 18, 2024
- RAUM · $347M to $376MJan 3, 2024 to Mar 18, 2024
- Accounts · 413 to 436Mar 23, 2022 to Mar 21, 2023
- HNW clients · 81 to 75Mar 23, 2022 to Mar 21, 2023
- Individual clients · 36 to 45Mar 23, 2022 to Mar 21, 2023
- Assets in custody · $25.3M to $28.9MMar 23, 2022 to Mar 21, 2023
- Discretionary RAUM · $387M to $347MMar 23, 2022 to Mar 21, 2023
- HNW RAUM · $359M to $313MMar 23, 2022 to Mar 21, 2023
- Individual RAUM · $22.7M to $29.5MMar 23, 2022 to Mar 21, 2023
- RAUM · $387M to $347MMar 23, 2022 to Mar 21, 2023
- Accounts · 411 to 413May 27, 2021 to Mar 23, 2022
- HNW clients · 83 to 81May 27, 2021 to Mar 23, 2022
- Assets in custody · $23.3M to $25.3MMay 27, 2021 to Mar 23, 2022
- Discretionary RAUM · $358M to $387MMay 27, 2021 to Mar 23, 2022
- HNW RAUM · $332M to $359MMay 27, 2021 to Mar 23, 2022
- Individual RAUM · $20.9M to $22.7MMay 27, 2021 to Mar 23, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••• F•••••••• G••••• I••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 954-481-2607reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 954-481-2607reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $143Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026