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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Latest filing Mar 3, 2026
First filing on the tape Nov 8, 2011 · 37 filings
SEC status approved since Sep 8, 2006
RAUM
$669M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$636M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$223M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$669M as of Mar 3, 2026
Jan 4, 2012$130M then
HNW client RAUM$563M as of Mar 3, 2026
Feb 22, 2018$252M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Jan 4, 20120 then
Employees (5.A)3 as of Mar 3, 2026
Jan 3, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 3, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $223MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $814,371derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $247M, 63 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$563M84%
- Individuals$73.5M11%
- Pension and profit-sharing plans$32.5M4.9%
- Individual clients
- 86reported
- HNW clients
- 125reported
- Pension plan clients
- 25reported
- Charitable clients
- 0reported
- Accounts
- 821reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $247M for 63 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| S•••••• D••••• P••••• | Merritt Island, Fl | May 7, 2003 | 39 y | 0 |
| L••••• M••••••• P••••• | Merritt Island, Fl | Mar 12, 2019 | 11 y | 2 |
| R••••• P••••• O•••••• | Austin, Tx | Jun 9, 2020 | 12 y | 1 |
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
none on the tape
Joined, latest
- R••••• P••••• O•••••• from F•• C•••••• P•••••••Jun 9, 2020 · Other
- L••••• M••••••• P••••• from A••••• A•• P••••••• S•••••••Mar 12, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• S••••••• D••••• · Managing Member/Chief Compliance Officercontrolsince 05/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Merritt Island, Fl | 3 | 0 | 0 | ||
| Austin, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX2 employees
- Cocoa Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 812 to 821Mar 18, 2025 to Mar 3, 2026
- HNW clients · 118 to 125Mar 18, 2025 to Mar 3, 2026
- Individual clients · 85 to 86Mar 18, 2025 to Mar 3, 2026
- Pension plan clients · 0 to 25Mar 18, 2025 to Mar 3, 2026
- Assets in custody · $214M to $247MMar 18, 2025 to Mar 3, 2026
- Discretionary RAUM · $578M to $669MMar 18, 2025 to Mar 3, 2026
- HNW RAUM · $512M to $563MMar 18, 2025 to Mar 3, 2026
- Individual RAUM · $65.9M to $73.5MMar 18, 2025 to Mar 3, 2026
- Pension RAUM · $0 to $32.5MMar 18, 2025 to Mar 3, 2026
- RAUM · $578M to $669MMar 18, 2025 to Mar 3, 2026
- Accounts · 872 to 812Mar 29, 2024 to Mar 18, 2025
- HNW clients · 123 to 118Mar 29, 2024 to Mar 18, 2025
- Individual clients · 78 to 85Mar 29, 2024 to Mar 18, 2025
- Assets in custody · $191M to $214MMar 29, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 18, 2025
- HQ city · unset to Mar 29, 2024 to Mar 18, 2025
- HQ state · unset to Mar 29, 2024 to Mar 18, 2025
- Discretionary RAUM · $516M to $578MMar 29, 2024 to Mar 18, 2025
- HNW RAUM · $454M to $512MMar 29, 2024 to Mar 18, 2025
- Individual RAUM · $61.9M to $65.9MMar 29, 2024 to Mar 18, 2025
- RAUM · $516M to $578MMar 29, 2024 to Mar 18, 2025
- Accounts · 886 to 872Mar 17, 2023 to Feb 26, 2024
- HNW clients · 124 to 123Mar 17, 2023 to Feb 26, 2024
- Individual clients · 87 to 78Mar 17, 2023 to Feb 26, 2024
- Assets in custody · $172M to $191MMar 17, 2023 to Feb 26, 2024
- Discretionary RAUM · $479M to $516MMar 17, 2023 to Feb 26, 2024
- HNW RAUM · $417M to $454MMar 17, 2023 to Feb 26, 2024
- Individual RAUM · $62.3M to $61.9MMar 17, 2023 to Feb 26, 2024
- RAUM · $479M to $516MMar 17, 2023 to Feb 26, 2024
- Assets in custody · $202M to $172MMar 15, 2022 to Mar 17, 2023
- Accounts · 810 to 886Mar 17, 2023 to Mar 17, 2023
- HNW clients · 115 to 124Mar 17, 2023 to Mar 17, 2023
- Individual clients · 75 to 87Mar 17, 2023 to Mar 17, 2023
- Discretionary RAUM · $521M to $479MMar 17, 2023 to Mar 17, 2023
- HNW RAUM · $464M to $417MMar 17, 2023 to Mar 17, 2023
- Individual RAUM · $57.4M to $62.3MMar 17, 2023 to Mar 17, 2023
- RAUM · $521M to $479MMar 17, 2023 to Mar 17, 2023
- Accounts · 734 to 810Jan 20, 2022 to Feb 3, 2022
- HNW clients · 117 to 115Jan 20, 2022 to Feb 3, 2022
- Individual clients · 60 to 75Jan 20, 2022 to Feb 3, 2022
Signals
No event on the tape.
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 321-543-1099reportedpublic record, Form ADV, Mar 3, 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
- $223Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026